N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCJaimants Steven and Elizabeth Hooper 92-04129 Name of Respondent Oppenheimer & Co.. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 8, 1992, Claimants Steven and Elizabeth Hooper who appeared Pro Se, alleged that from October, 1988 to September. 1989 they entered into three investm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTOS DEALERS^, In the Matter of the Arbitration Between ." i , . J. Name of Claimants Norman and Dolores Pubanz 92-04127 of Respondens Merrill Lynch Pierce Fenner & Smith Inc Terry Gordon Cleaves For Claimants, Norman and Dolores Pubanz ("Pubanz*): James R. Leone, Esq. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("ML") and Terry Gordon Cleaves ("Cleaves"): George J. Felos, Esq.

N.A.S.D. AWARD \ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Greg Pierog 92-04118 Name of Respondents Dean Witter Reynolds Inc. Steve McDevitt REPRESENTATION For Claimant Greg Pierog ("Claimant"): Christopher Loveil, Esq. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Steve McDevitt ("McDevitt"): Alexander Bono, Esq. of the law firm of Blank, Rome, Comisky & McCau

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul and Antoinette Sue Sharkey 92-04111 Name of Respondents Shearson Lehman Brothers, Inc. Edward V. Kelly For Claimants Paul and Antoinette Sue Sharkey ("Claimants") appeared Walter D'Ull, Esq., New York City, NY. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Edward Kelly ("Kelly") appeared Pete S. Mich

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot" the Arbitration Between Name of Claimants Kurt J. Meister and Kathi A. Kuehnel 92-04110 Name of Respondents Smith Barney Harris Upham & Co., Inc. Craig Frank " REPRESENTATION For Claimant: Anthony V. Trogan, Esq. of Weissman, Trogan, Young & Schloss. For Respondents, Smith Barney, Harris Upham & Co. Incorporated (now known as Smith Barney Shearson Inc.) and C

3_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Scott T. and Barbara L. Norton vs. NASD #92-4103 N. Ml? °f Respondents Smith Barney, Harris, Upham & Co., Inc., Gary Hixata and John-Erik W. Anderson For Claimant: Jann W. Carpenter, Esq., Seattle , WA For Respondents: Alejandro Schwed, Esq., Smith Barney Harris Upham & Co., Inc., New York, NY CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas Olick, Sr. Kathryn A. Olick Irene Olick Bungardy and Thomas Olick, Jr. 92-04070 Name of Respondent John Hancock Distributors, Inc. REPRESENTATION Claimants Thomas W. Olick, Sr. ("Mr. Olick, Sr."), Kathryn A. Olick ("Mrs. Olick"), Thomas W. Olick, Jr. and Irene Olick Bungardy ("Mrs. Bungardy") (collectively r

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Angelo V, DeCaria, (Claimant) vs. Ameritrade, Inc., (Respondent) Number OL-02518 ing siter Pittsburgh, Pennsylvania OF PAPTT1TS Claimant, Angelo V. DeCaria, hereinafter referred to as "Claimant": Walter G. Bleil, Esq., Goldberg, Kamin & Garvin, Pittsburgh, PA. Previously represented by: Edward Leymarie, Jr., Esq., Cusick & Leymarie, Ellwood City, PA. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between ESTHERANNE M. BILLINGS, Claimant, v. NASD No. 92-04039 F.T. BANK & ASSOCIATES, F.T. BANK, an individual, WILLIAM J. BLACKWELL, Partner, F.T. Bank, WILLIAM J. BLACKWELL, an Individual, ROBERT K. MALKIN, Partner F.T. Bank, ROBERT K. MALKIN, an Individual, MUNICICORP OF CALIFORNIA, ^ANGUARD CAPITAL, KENBEE MANAGEMENT, INC., KENBEE LIMITED PARTNERS,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael A. Diodata 92-04196 Name of Respondent Robert C. Perlman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December IS, 1992, Claimant Michael Diodata, who appeared Pro Se, alleged that Respondent Robert Perlman, while employed by Jonathan Allen & Co., Inc., sold his I