ASSOCXXnCN CP SHCUki'l'lBS TTOTJBfB in. tha Jfctter of tha Arbitration Bertha M. Gardoar anith. Baxaay Barria W. Cuey T$faan & Co., Lac. fixa of ("CUjdant") t Qngocy R. > P.O. of tb* IJH Stalth Barney Burl* T]^biB & Co., lac. and Ftancla W. t Al«j«olro S. ScdMad, Vlo* PtwidBt of aalth Baxocy ft Co., Inc. •Ebird-RKrty Pa^rfvVnt Dcnald Gwdaar ("Me, Qazdoar^) i Qngccy H. tb» law «i» of Boxdaa ft Farley, P.O. of Statc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 92-025% Name of Respondent Robert L. Link REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Nicholas L. DiVita, and Lisa Henocfa, Esq. of Bryan Cave, Kansas City, MO. Robert L. Link ("Respondent") was represented by Frank Susman, Esq. and Gregory K. AUsberry, Esq. of Sus

N A.i.D. \WARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me Matter or the Arbitration Between N'aine of Claimant Pamela D Kinion 92-0X704 Name of Respondents Harry Banolomei Securities America Inc. CASE SUMMARY In a claim riled with the National Association of Securities Dealers. Inc. on August 12. 1992. Claimant Pamela D. Kinion who appeared Pro Se. alleged that during the first week of February. 1^88 Respondent Harry Banolomei. Man

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert Pewitt Nancy Pewitt NASD Arbitration No. 92-01315 of Respondents Dean Witter Reynolds, Inc. Ken Mattson Allan Bud Stevenson REPRESENTATION For Claimant: Richard Sacks - Investors Recovery Service - Novato, Ca. For Respondents, Dean Witter Reynolds, Inc. and Allan Bud Stevenson: David P. Restaino - Dean W

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Consolidated Matter of the Arbitration Between Name of Claimants Edward J. O'Connor CONSOLIDATED AWARD John J. O'Connor, Jr. Donald E. Florence 92-01261 92-01275 vs. 92-01280 Name of Respondents Robert Todd Financial Corp. Steven Cloyes Steven G. Kashian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10,

he Matter cf the Arbitration Between ) RONALD MARTINO ' ) CASE NO. 92-01144 Claimant ) v. ) CHARLES HARWELL, III, ) Respondent ) REPRESENTATION For Claimant: Philip M. Giordano, Esq. and Linda Trent, Esq., Ricklefs & Giordano, P.C., Boston, MA For Respondent: Pro gg (February 16, 1993) Daniel J. Dugan, Esq., Spector Gadon & Rosen, Philadelphia, PA (March 12, 1993} CASE INFORMATION Statement of Claim dated: March 26, 1992 (fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hadwen C. Fuller. 0 92-01097 Name of Respondents PaineWebber. Inc. Frederick Alesandro Donald Walsh REPRESENTATION Claimant Hadwen C. Fuller, n ("Claimant"). Loma G. Schofield. Esq. from the law firm of DeBevoise & Plimpton. For Respondents. PaineWebber. Inc. ("PaineWebber"). Fred Allesandro ("Allesandro"). and Dona

PUBLIC NATIONAL A3SCCIATICN OF SECURITIES DEALERS, INC. CASE #92-01023 AWARD In the Matter of the Arbitration Between Florence A. Loeb Claimant V3. Invest Financial Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Florence A. Loeb. who appeared Pro Se, alleged that the Respondent Invest Financial Corporation invested her funds without her au

:i.A.S.3. AWARD MATRONAL ASSOCIATION OF SECURITIES CEALERS "In zr.e Matter of the Arcitraticn Between Mame cf Claimant Victor J. Scegall Name of Respondent Shearscn Lehman Brothers, tr.c. 92-0036; REPRESENTATION ?or Claimant Victor J. Stegall i"Claimant" 1 : Benjamin c. Yale. Esq.. of Yale i Hoy. For Respondent Shearson Lehman Brothers, Inc. ("Shearson 11 ): Victor A. Machinski. Esq., of Shearson. CASE INFORMATION

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin G. Schramka and Lori L. Schramka, Ciaimants vs. Robert W. Baird & Co., Inc., and William A. Naleid, Respondents. Mnmhpr QQ.n34.1P Hparin Site 1 Milvwai ikiap f Claimants, Kevin G. Schramka and Lori L. Schramka, hereinafter referred to as "Claimants", were represented by Michael J. Cohen, Esquire, of Meissner, Tierney, Fisher & Nichols, Milwaukee, W