Award NASD Dispute Resolution In the Matter of the Arbitration Between: n f the f^'mant r^p Nvtn^^ 1 " 01-00672 Eric J. Bell Name.of thf* Respondents Hearing Sit? ! Philadelphia, PA Janney Montgomery Scott LLC Steven J. Kramer PAKTTF-S Claimant, Eric J. Bell ("Bell"), hereinafter referred to as "Claimant": Marc S. Henzel, Esq., Law Offices of Marc S. Henzel, Bala Cynwyd, PA. Respondents, Janney Montgomery Scott LLC ("Jann

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Douglas Kiessling Case No. 00-00640 Name of Respondents Cantone Research Inc. Fleet Securities, Inc., f/k/a U.S. Clearing Co. Anthony J. Cantone Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Douglas Kiessling ("Kiessling") was represented by Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondents, Canto

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., vs. Goda and Geeta Shailam, vs. Morris Pelter, Robert B. Lee, Walter D. Roberts III, Thi Claimant, Respondents, and rd-Partv ResDondents . X X X X X X X X X X X X X X X CASE NO. 90-01716 AWARD - Heard before: Carl W. Engstrom, Esq. Ric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Allan Adelman, M.D. 90-01714 Name of Respondentfs^ Fidelity Brokerage Services, Inc. Heard before: Name Public/Industry Herman Friedberg Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 18, 1990. Claimant alleged that Respondents failed to execute

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x A.M. Miller Tupker, x Claimant, x x CASE NO. vs. x 90-01709 x Shearson Lehman Hutton, Inc., and x AWARD Neal Impellezeri, x Respondents. x ^___ x CASE SUMMARY Claimant, A.M. Miller Tupker ("Tupker") by and through her attorney-in-fact r R.J.J. Hiemstra ("Hiemstra"), alleged that Hiemstra instructed Respondent Neal Impelle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold Vandermark Susan Vandermark vs. Claimants Prudential Bache Securities, Inc. Martin Wewerka Respondents CASE# 90-01708 Heard befoxes Dorothy F. Gray Henry H. Baiter Catherine Ladnier Public Arbitrator Public Arbitrator Industry Arbitrator REPRESENTATION The Claimants were represented by Ira M. Starr, Esq. of the law

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gay E. Dall Claimant: CASE *90-01707 AWARD vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY Gay E. Dall r in a claim filed with the National Association of Securities Dealers, Inc. on June 18, 1990, alleged that Respondent Prudential-Bache Securities, Inc. executed unauthorized trades, charged excessive commissions and recom

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Them Spectenbach Rebecca Spectenbach & Robin Blackley 90-01701 Name of Responrterrbf s] Lou Chiappone Heard before: Name Public /Industry Deborah Sherman, Esq. Public Arbitrator (chairperson) Anne Cugliani Public Arbitrator Karen Van Ingen, Esq. Industry Arbitrator Claimants were represented by Keith Ahramson, Esq. of 'The Law Offic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard A. Lane, Trustee for Mabel Jones Trust FBO Karen Jensen Claimant vs . Al Jeanfreau Respondent CASE #90-01697 AWARD CASE SUMMARY Richard A. Lane, Trustee, in a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1990, alleged that Respondent Al Jeanfreau made unsuitable investments and negligently han

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles B. Drake, Trustee Drake Construction Co. Drake Construction Co. Profit Sharing Plan Claimants vs. Case #90-1696 Shearson Lehman Mutton, Inc. Respondent ARBITRATION AWARD REPRESENTATION 1. Claimants were represented by Mr. Charles B. Drake, Trustee of the Profit Sharing Plan and President of Drake Construction Co. 2. Respondent was represented