N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence Saltis, M.D., individually, Richard Zahn, M.D. and Jon L. Weingart, M.D., trustees of the Surgical & Medical Neurology Associates, Inc. Profit Sharing and Pension Trusts 92-03820 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Butcher Singer, Inc.) George S. Hoffman REPRESENTATION For Claimants Lawre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant DBL Liquidating Trust, et ai. 92-4)3764 Name of Respondent Butcher & Company, Inc. a/k/a Butcher & Singer, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. oh November 6, 1992, Claimant DBL Liquidating Trust, by and through DanM Hume^'Esq;, of Tenzer, Greenblatt Fallen & Kaplan, N

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Natalie Albin 92-03758 Name of Respondent Prudential Securities Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 15. 1992. Claimant Natalie Albin who appeared Pro Se, alleged that on January 25, 1985 she opened an IRA account with Respondent Prudential Se

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tom Kirkpatrick 92-03745 i Name of Respondents Sanwa-BGK Securities Co., L.P. William J. Kenney REPRESENTATION For Claimant, Tom Kirkpatrick: Hayward Richard Pressman. Esq. For Respondent, Sanwa-BGK Securities Co., L.P.: Danforth Newcomb, Esq. of Shearman & Sterling. For Third Party Respondent, William Kenney: Willi

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald E. Leverence 92-03743 Name of Respondent Lawrence H. Butler CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 4. 1992. Claimant Donald E. Leverence. who appeared Pro Se, alleged that Respondent Lawrence H. Butler, while employed by Cruttenden & Co. misled him i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Alan N. Pressman 92-04215 Name of Respondents) Fidelity Brokerage Services, Inc. National Financial Services Corporation For Claimant Alan N. Pressman (Claimant): Robert J. Poulson, Jr., Esq. located in New York City, New York. For Respondents Fidelity Brokerage Services, Inc. and National Financial Services Corporation

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter of the Arbitration Between Name of Claimants Patrick J. and Betty Tonsor vs. 92-04214 Name of Respondents Shearson Lehman Brothers, Inc. Samuel L. Petro REPRESENTATION For Claimants David C. Smith, Esq. of Allman Spry Humphreys Leggett & Howingt, Winston- Salem, North Carolina. For Respondent Shearson Lehman Brothers, Inc. Victor A. Machinski, Jr., Esq. in-house

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Stamm 92-04209 NameofRespondent Chatfield Dean & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16,1992, Claimant Norman Stamm, who appeared Pro Se, alleged that Respondent Chatfield Dean & Co., Inc. misrepresented to him that Royce Laboratorie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namp of the Claimant Case Number 01-02516 Christopher K. Schrichte Name of the Respondents Hearing Site- Washington, D.C. Prudential Securities, Inc. and Forrest Williams RFPRF.SFNTATTOK OF PARTTRS Claimant Christopher K. Schrichte, hereinafter referred to as "Claimant", was represented by Lee J. Dixon, Dixon Representation Ltd., McLean, Virginia. Respondents Prudential

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lonnie M. Reed, Peter M. Reed, and Peter M. Reed as Trustee of the Peter M. Reed Revocable Trust, Claimants v. Titan Value Equities Group, Inc. and Glen Biener, Respondents Case Number: 00-00849 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning San Francisco, California For Resp