N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name n of Claimant^ David A. & Amelia L. Mancini. TTEES/James David A. Mancini 92-02390 of Respondet The Ohio Company REPRESENTATION For Claimants: David A. Mancini. For Respondent: James A. Francis, Esq. of The Ohio Company. CASE INFORMATION Statement of Claim filed: July 17, 1992. Claimant. James Mancini Trust's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward A. Baitiett 92-02389 Name of Respondents The Chicago Corporation William Dugan CASE SUMMARY In a claim filed with the Nations! Association of Securities utters, Inc. on July 20, 1992, Claimant Edward A. Baitiett, who appeared Pro Se, alleged 'nat Respondent The Chicago Corp., through it's registered representative, R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot the Arbitration Between Name of Claimants Morris and Norma Pollekoff 92-02385 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n.k.a. Smith Barney Shearson, Inc.) Robert Rubenstein REPRESENTATION For Claimants Morris and Norma Pollekoff ("Claimants"): Sheila Footer, Esq. of the law firm of Silver, Friedman & Taff. For Respondents Smith Barney Harris

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or' Claimant Karl Lundquist 92-02384 Name of Respondents Hamilton Investments .Arnold Fiscelli REPRESENTATION For Claimant Karl Lundquist: Anthony V. Trogan, Jr.. Esq. of Weisman, Trogan. Young & Schloss. P.C. For Respondents Hamilton Investments. Inc. and Arnold Fiscelli: Rosemahe J. Guadnolo. Esq. of Horvath Lieber St. Quilici. P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard and Fern Raphael 92-02381 Name of Respondents Shearson Lehman Brothers. Inc. Gary Weissman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1992. Claimants Bernard and Fern Raphael, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Breckle v. 92-02377 Name of Respondents D.H. Blair & Company Stratton Oakmont, Inc. Jordan Belfort REPRESENTATION For Claimant: Donald Breckle ("Breckle"). Craig W. Horn. Esq., from the law firm of Braun. Kendrick. Finkbeiner et al. For Respondent. D.H. Blair &. Co.. Inc. ("Blair"). Stuart Summit. Esq. from the l

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Steven M. Hoss William Beall William L. Hendry William Gillen Louis J. Venafro Michael D. Owens Case No. #92-02372 Name of Respondent^ Princeton Financial Group, Inc. Jerry Frederick Shorthouse Anthony Joseph Pontieri Curt Russell For Claimants, Steven N. Hoss ("Hoss"), William Beall ("BeaU"), William

Award NASD Dispute Resolution, Inc. In the Mattef-of the Arbitration Between Name of Claimants William M. and Louise Keane Case No. 99-03259 Name of Respondent Charles Schwab & Company, Inc. Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES ^ Claimants, William M. Keane and Louise Keane, JT TEN ("Claimants") were represented by Michael P. Mangan, Attorney at Law, New York, NY. Respondent, Charles Schwab & Co., Inc. ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edythe Masel as Assignee of Robert and Theresa Masel and The Edythe Masel Irrevocable Trust 92-02367 Name of Respondent Ryan. Beck and Co.. Inc. REPRESENTATION Claimants Edythe Masei as Assignee of Robert and Theresa Masel and the Edythe Masel Irrevocable Trust (collectively referred to as "Claimants") were represented

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Myron S. Eckstein, TTEE/General Sheet St Myron S. Eckstein. TTEE/General Sheet St vs. 92-02358 Name of Respondents Fahnestock & Co., Inc. Edward A. Viner & Co., Inc. E.A. Viner Holdings, Ltd. William McLaren REPRESENTATION For Claimant: Steven L. Gardner, Esq. of McDonald, Hopkins, Burke & Haber Co., L.P.A.