PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjmeofCIajmant Angelo Haiti 92-04195 Barrett Day Securities, Inc. PaulKeiley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15,1992, Claimant Angelo Raiti, who appeared Pro Se, alleged that in August, 1990 he authorized Respondent Paul KeOey, Account Executive of Respondent Barrett

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph V. Marone 92-04192 Name of Respondent Fahnestock & Co., Inc. Kuhn Brothers & Laidlaw, Inc. REPRESENTATION For Claimant: Michael A. Rose, Esq. For Respondent Fahnestock & Co., Inc. ( "Fahnestock") J Charles E. Padgett, Esq., in-house counsel of Fahnestock. For Respondent Kuhm Brothers & Laidlaw, Inc("Kuhn Brothers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin Mandelblatt 92-04190 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. Edwin Hunter REPRESENTATION For Claimant Martin Mandelblatt ("Claimant"): Herbert M. Linsenberg and H. Graham McDonald, Attorneys at Law, Philadelphia, PA For Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John T. White, Jr. 92-03999 Name of Respondent Olde Discount Corporation REPRESENTATION For Claimant: John T. White, Jr. ("White") appeared pro se and was assisted by Deborah M. Paterson, Esq. For Respondent: Olde Discount Corporation ("Olde Discount") was represented by Mark L. Kowalsky, Esq. of Hertz, Schram & Saretsky, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alfred J. Hoch, III 92-03992 Name of Respondents Lew Lieberbaum & Company, Inc. Bear Stearns Securities Corporation Patrick J. Ogadi John J. Fasano REPRESENTATION Claimant Alfred J. Hoch, III ("Claimant") was represented at the hearing by N. Curtis Ward, Esq. of the law firm of Butera, Beausang, Cohen & Brennan.

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward Damm 92-03985 Name of Resoondent(s) Manchester Rhone Securities, Inc. William Trainer Andrew Boxer Bernard Musmand REPRESENTATION For Claimant: Anthony J. Horn, Esq. of Philadelphia, PA. For Respondents: Manchester Rhone Securities, Inc. and William Trainor did not attend the hearing but Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Maureen Foley 92-03968 Name of Respondent^ Dean Witter Reynolds Inc. Stephen L. Hewlett REPRESENTATION For Claimant Maureen Foley: Richard M. Gelb, Esq., of the law firm of Gelb and Gelb, Boston, MA. For Respondents Dean Witter Reynolds, Inc. and Stephen L. Hewlett: David C. Boch, Esq., of the law firm of Bingham Dan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: pf fop PTflirnftrjf PF^ 1\Tirmhpf 01-02517 Monica M. Zakwieia of thf Rpqpfifi,r]ff[|< ; ffr an'no; .^j-fp- Baltimore, Maryland Ferris, Baker Watts, Inc. Brenda Games o Claimant, Monica M. Zakwieia ("Zakwieia") hereinafter referred to as "Claimant": Thomas C. Costello, Esq., West & Moore, LLC, Baltimore, MD. Respondents, Ferris, Baker Watts, Inc. ( i; FBW") a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Millie Caraba and Sam Caraba 92-03960 Name of Respondents Dean Witter Reynolds Inc. York Securities, Inc. Yaeger Securities, Inc. Robert Wood Debra Goldsmith David Khalilzad Harvey Rudowitz Martin Pike For Claimants Millie and Sam Caraba ("Claimants") appeared Dan Druz, Esq., Sea Girt, New Jersey. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Glenda McConkey and Ronald McConkey 92-03871 Name of Respondents a^MMH^^BMMnas^^BBaa««K 9 Prudential Securities Incorporated; Bruce G. Vollrath REPRESENTATION For Claimants: Glenda McConkey and Ronald McConkey ("McConkey") were represented by Anthony J. Horn, Esq., of the Law Offices of Anthony J. Horn, Esq., located i