N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Adele and Marvin Hirsch 93-00127 Name of Respondents Shearson Lehman Brothers, Inc. Sean M. Sweeney Alexander I. Dever, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, Claimants Adele and Marvin Hirsch, who appeared Pro Se, alleged that Respondents Shearson

FROM NfiSD,INC. 09.62.1994 14:45 P. 2 N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nflma of Claimants Glen D, Waldlck & Mfuilia Dnisch Marilla Dnisch, Beneficiary/IRA 93-00118 Name of Dean Witter Reynolds, Inc. REPRESENTATION For Claimants, Glen D. Waldick ("Waldtck") and Marilla Drusch ("Dnisch"); Allan I* Fedor, Bsq. and Fmnell Fedor, Esq. of Fedor & Fedor, Largo, Florida.

NATIONAL ASSOCIATION OF SECURITIES DEALERS BERNADINE F. HAYES, Claimant MERRILL, LYNCH, PIERCE, FENNER, & SMITH, INC., Respondent No. 93-00115 AWARD CASE SUMMARY AND RELIEF REQUESTED This is a claim filed by Bernadine Hayes against Merrill, Lynch, Fenner and Smith on December 27, 1992 seeking damages including consulting fees, expert fees f damages for mental distress, lost wages, and attorneys fees in the total amount of $10

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Jerry Kopf and Ben Stevens 93-00114 Name of Respondents R.D. Kushnir & Co., Richard Kushnir, Joel Weiner, and Jack Cotto REPRESENTATION OF PARTIES For Claimants, Jerry Kopf and Ben Stevens, at the hearing: Jerry Santangelo, Esq, of Neal Gerber & Eisenberg, Chicago, Illinois. For Respondent, R.D. Kushnir & Co., at the hearing, and for Respondents Richard Kushn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Young 93-00113 Name of Respondents Smith Barney Harris Upham & Co., Inc. Ronald P. Landry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, Claimant Stephen Young, who appeared Pro Se, alleged that Respondent Ronald P. Landry, of the Respondent firm Smith Ba

NATIONALASSC NATION OF SECURITIES DEALERS In the Matter of th Aifctedon Between Name of Clai« thf Inc. Dennis & Evelyn C Thomas Teeggnfea Esq., CUogo, IQin is U won* For Respondent, Slq.» of Fitzaimmo Statement of Claim » s 1993. Bespondeot Counterclaim fifed of Evelyn P&ak on: Maucb 19, 1993. N.A.S.D. AWAfiD ^3-00112 Ptzak For Clamant, Rtin Webber, Inc. at die hearing: Edward P» Degentaflfc, Esq.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerri Visintine 93-00108 of Respondents Anchor National Financial Services, Inc. Barbara!. Manson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, claimant Jerri Visintine who appeared pro se, alleged that Respondent Barbara J. Manson of the Respondent f

N.A.S JD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tee Arbitration Between F-rilz Vogehnana. Names of Re Smith Barney Habit Upham & Co., lac, f, Cttttay 93-00098 SaynwndR. Rafigtia ClaimanMFritz Yogehnana was represented by Paul J. Suasnum, Esq. of Chicago, Uliwns, HespondeftU, Smifli Bamcy, IDC, and Christopber I. Coocoy reprcacflicd by Lfoxfa R. Alpett, Esq. of Smitii Banwy, IJK;. T New Yotfc, Mew B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between \Jai-ne n f Claimant Aaron Harber and 93 -°°° 96 Vame of Respondents Dean Witter Reynolds, Inc. and Marc S. Daniels REPRESENTATION OF PARTIES Aaron Harber ("Claimant") was represented by Bill R. Mann, Esq., Boulder, Colorado. Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Paul D. Allen, Esq. of Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f- nf fhft P.faimflnts Pasft ."Mnmbftf: 00-05306 Curtis J. Nelson and Barbara A. Nelson St. LOUIS, MlSSOUli. L.H. Ross & Company, Inc.; Guido A. Torres; Franklyn Ross Michelin; and Ricardo Miguel Torres, Jr. Claimants Curtis J. Nelson and Barbara A. Nelson, hereinafter referred to as "Claimants," were represented by Jon A. Bierman, Esq., of Gallop, Johnson & Neuman, L.C. loc