t I t u. I ; N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Columbia Management Company < •-»•. '*~~ 92-04206 Names of Respondents La Salle St. Securities, Inc., William Scon Loye. John C, Peterson, Jr.. and William Paul Rainwater REPRESENTATION Claimant, Columbia Management Company was represented by Foster Robberson, Esq. and Stephen R. Winkelman, E

;UL—i.4 '- 4 04:37=11 MhSD •- P.I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between NameofClaimants Harry and Peari Weinberg 92-04203 Name of Respondents J.W. Chutes Securities Inc. Richard Dnpois For Claimant*, Harry and Pearl Weuberg ("Weinbergs"): Gail P. Aird of Securities Arbitration Network Group, Boca Raton, Florida* For Respondents, J.W. Charles Securities Inc. ("JWC"), and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William R. West 92-04198 Name of Respondents Shearson Lehman Brothers, Inc (n/k/a Lehman Brothers, Inc.). Edward R. Phillipp, Jr. William A. Roberts REPRESENTATION For Claimant William R. West "William R. West ("Claimant"): John C. Albert, Esq., Crabbe, Brown, Jones, Potts & Schmidt, Columbus, OH. For Respondents Shears

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norman Stamm 92-04197 NameofResDondent Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December IS, 1992, Claimant Norman Stamm, who appeared Pro Se, alleged mat Respondent Chatfield Dean & Co., Inc. misled him into investing in 10,000 shares of Ai

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert P. Hamlen 92-03740 Name of Respondents D.H. Blair & Company Gregory V. Carter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1992, Claimant Robert P. Hamlen, who appeared Pro Se, alleged that on February 22, 1992, Respondent Gregory V. Carter, Account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fargo MFG. Co., Inc. 92-03737 Halpert & Co., formerly known as Halpert, Oberst and Company Richard M. Bergstein REPRESENTATION For Claimant: Timothy P. Kebbe, Esq. of the Firm Wien, Malkin & Bettex, located in New York, New York. For Respondent Halpert & Co., Inc.: Anthony W. Djinis, Esq. of the Firm Pickard and Djinis, located in Washington, D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimanUs) Melvin and Edith Bowden Name of Respondents/Cross Claimant Raymond, James & Associates, Inc. (Cross Claimant) Joseph Earl Todd, Jr. 92-03734 Name of Cross Respondent Joseph Earl Todd, Jr. Name of Third Party Respondents Fayc S. Todd Joseph M. Todd For Claimants, Melvin and Edith Bowden ("the Bowdens"): Edward Doug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajjjeofClaimants William and Kathleen Dotsikas 92-03733 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Stephen J. Smola For Claimants William and Kathleen Dotsikas ("Claimants"): George L. McGaughey, Esq., of McDonald Hopkins et al. ,. , For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Stephen J. Smola

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Robert R. Kneisiey Case* vs. 92-03727 Name of Respondent Paine Webber. Inc. REPRESENTATION For Claimant: Decian J. O'Donnell, Esq. a sole practitioner. •For Respondent: Paul G. Thomas, Esq. of PaineWebber, Incorporated. CASE INFORMATION Statement of Claim filed: November 2, 1992. Claimant's Submission Agreement was

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of uie Arbitration Between Name of Claimants) P\jBUC Louise Mouia 92-03721 Name of Respondent's) South Barney Harris Upham & Co., Inc. For Cbimant Louise Monia: Richard W. Vallario, Esq., sole practitioner Nutley, New Jersey. ' ' ' ' For Respondent Smith Barney, Harris, Upfaam & Co., Inc.: Hugh McGovem, Eaq., in-house couniei of Smith Barney, fibrris, Upham A, Co., I