N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marc Sharinn 93-05016 Name of Respondent Andrew Garrett Sycoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6,1993, Claimant Marc Sharinn, who appeared Pro Se, alleged that Respondent Drew Sycoff of Shamrock Partners, Ltd. entered into an oral agreement with him wherein he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Michael O'Callaghan t){ Respondents NASD Arbitration No. 93-05015 Smith Barney Shearson, Inc. Lynda Gilbertson REPRESENTATION For Claimant: Douglas L. Federspiel, Esq., Velikanje, Moore & Shore; Yakima, Washington For Respondents: John P. Bevilacqua, Esq., Smith Barney, Inc.; New York, New York CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Joseph K. Burgess NASD Arbitration No. 93-05011 Name of Respondents) Michael Rawlinson REPRESENTATION For Claimant: In Propria Persona For Respondent: Eugene B. Harper, Esq. CASE INFORMATION Statement of Claim filed: December 1, 1993 Claimant's Submission Agreement signed: January 21, 1994 Statement of Answer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Preacher 93-05010 Chatfield Dean & Co., Inc. Christopher A. Trina CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant David J. Preacher, who appeared Pro Se, alleged that Respondent Chatfield Dean & Co., Inc. and Christopher A. Trina ignored his limited

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger Bolduc, Sr. Award # vs. 93-05004 Name of Respondents Ellen L. Schowalter Patricia Ann Seymour Titan/Value Equities Group, Inc. Jonathan Alan & Co. , Inc. For Claimant, Roger Bolduc, Sr. ("Claimant"), Howard M. Rosenfield, Esq., located in Avon, Connecticut. For Respondents, Ellen L. Schowalter ("Schowalt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Donald V. Peruski and 01-02867 Southfield, Michigan Thomas M. Dolan Society for Lifetime Planning, and Vestax Securities Corporation REPRESENTATION OF PARTIES Donald V. Peruski ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Thomas M. Dolan (" Dolan"), Society for Lifetime Planning ("SLP") and Vestax Securities Corporation ('Ves

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Werner Heilinger, Claimant, v. No. 93-05000 William Hecht, and R. G. Dickenson & Co., n/k/a Dickenson & Co. Respondents REPRESENTATION OP PARTIES Claimant Werner Heilinger ("Claimant") was represented by David Liebrader, Esq., of Investors Arbitration Services, Inc., , California. Respondents William Hecht and Dickenson & Co. ("Respondents") were represented by David Jorda

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rubin Edelstein 93-04999 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant Rubin Edelstein ("Claimant") appeared Eric S. Edelstein, Esq., a sole practitioner located in Hollis, New York. For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") appeared Samuel A. Turvey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Noraia Hendrick, Trustee NASD Arbitration v. No. 93-04998 Name of Respondent^) Kennedy, Cabot & Company and Erik Gene Nedrud REPRESENTATION For Claimant: Michael Huberman, Greenbaum & Ferentz, Newport Beach, California For Respondents: George H. Kupper, Kennedy, Cabot & Co., Beverly Hills, California CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger H. and Sherry T. Tumlin 93-05050 Name of Respondents Quick & Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6,1993, Claimants Roger H. and Sherry T. Tumlin, who appeared Pro Se, alleged that they placed an order for 2500 shares of Atlas Corp. stock for Mr.