N.A.S.D. AWARD In the r.atter of the Arbitration Between Name cf Claimant's? Fred W. C' Green, Mildred G. 0* Green Susan R. 0* Green, Erie 0' Green, Jane 0' Green Koenig, and John o 1 Green NASD Arbitration No. 92-01065 Name of P.esppndgnc (s) Xayne . Anderson & Co . , Inc . , and Beniarain Bush. Richard Kayne, and John Anderson, individually RgPRgSEMTATTQM For claimants: H Thomas Fehn, Esq., Fields, Fenn & Sherwin, Los A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Coffey 92-01064 Name of Respondents Smith Barney Harris Upham & Co. , Inc. Joseph D. Duerr For Claimant: he appeared pro se. For Respondents: Judith Greene, Esq. of Smith Barney Harris Upham & Co., Inc. CASE INFORMATION Statement of Claim filed: March 24, 1992. Claimant's Submission Agreement signed on: Februa

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Linzel R. Kutson Claimant vs. CASE #92-01063 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Sue Plattner Stephen Olsen Respondents CASE StftMARY In a claim filed with the National Associacion of Securities Dealers, Inc. on March 25, 1992, Claimant Linzel R. Hutson who appeared Pro Se, alleged chat on March 26, 1991 Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds, Inc. 92-01061 Names of Respondents William P. Dillon Ursula E. Dillon REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. ("DWR"): Bradford D. Kaufman, Esq. of Steel Hector & Davis, West Palm Beach, Florida. For Respondents, William P. Dillon ("W.P. Dillon") and Ursula E. Dillon ("U.E. Dillon")

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lena M. Davidson, Principal Jack R. Davidson, Agent POA vs. Shearson Lehman Brothers, Inc. Chris Myer Respondents Claimants CASE #92-01059 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1992, Claimants Lena M. Davidson by Jack. R. Davidson, POA, alleged that Respondent Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. hi the Matter ;< r the Arbitration Between William C. Hansen I Claimant CASE #92-01057 AWARD \ s. Boh Colvin Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 25. 19Q2. Claimant William C. Hansen who appeared Pro Se. alleged tbat Respondent Bob Colvin or the firm of Dean Witter Reynolds. Inc. was negligent by n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la tt\e Matter of the Arbitration Between Maine of' Claimantis) Henry A. and Susan B. Shevitz 02-01055 Name of Respondents ) Pnidenttal Securities Inc Marvin Zucker For Claimant: Henry A. Shevitz. pro-.se. For Respondents. Prudential Securities. Inc. and Marvin Zucker: Gerard Kowaiski. Esq. of Prudential Securities. Inc. CASE INFORMATION Statement or Claim filed: March 23. 199

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thelma A. Bellio 92-01053 Name of Respondents Prudential Securities Inc Melvin Harris CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 25. 1992. Claimant Thelma A. Bellio. who appeared Pro Se. alleged that Respondent Prudential Securities, Inc.. through its register

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03145 Philip Myers and Kenneth Robins, JTWROS, claimants vs. Salomon Smith Barney, Inc., respondent. ATTORNEYS: Claimants, Philip Myers and Kenneth Robins, JTWROS, ("Claimants"), appeared Pro Se., Los Angeles, CA. For Respondent, Salomon Smith Barney, Inc., ("Respondent"), appeared Ann Parry, Esq., First Vice President, Associate General Counsel, Salomon Smith Barney, Inc. New York

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In. the Matter of the Arbitration Between Hillary L. Strickland Luana D. Strickland vs. Alfred J. Small First Choice Securities Corp. Claimants CASE #92-01048 ANABD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 24, 1992, Claimants Hillary and Luana Strickland, who appeared Pro Se, alleged that Respondents, Fi