N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Patricia w. Drasner and Helen M. Witty, ) as Trustees of the Helen M. Witty Trust ) ) Case No. 90-02486 ) Name of RespQTviont- ( a \ ) ) Shearson Lehman Hutton, Inc. ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Public Virginia Rhyne Public Roark Young Industry Claimants, Patricia W. Drasner (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Aaaoclatlon of Securities Deafer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration a of John and Sonia Lynch Mams of Respondent (s\ Dean Witter Reynolds, Inc. Larry Sheffield Heard before the Arbitrator: Arieh lc& Douer Case No. 90-02481 Public For Claimant

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Regina M. Lyons Testamentary Trust vs Name of Respondents Shearson Lehman Hutton, Inc. Edward Boznanski 90-02477 National Association of Securities Deaieti, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Paul Chernis, Esq. of Silverman, Collura & Chernis, P.C, Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Bateman Eichler, ) Hill Richards, Inc. ) Claimant & ) Counter- Respondent ) ) AWARD vs . ) ) NASD #90-02475 Marc J. Deutsch ) Respondent & ) Counter-Claimant ) REPRESENTATION Claimant was represented by Theodore F. Gripkey, Jr. , Esq., of Kemper Securities Group, Inc., Chicago, Illinois. Respondent represented himself. SU

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Batsman Eichler, Hill Richards, Inc. Claimant vs. Gene M. Alford Respondent Case #90-02472 AWARD fASE SUMMARY Bateraan Eichler, Hill Richards, Inc.'-by its counsel Brian K. Lowe, in a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1990, alleged non-payment of an unsecured debit balance in the account of fut

-'92 L3-C.1 r ISH KJUB.D. MOOD HRIXCKAL ASfiQCUffiXCH Of tiB'JUkl'i'JLflS 3i tba' ifctter of taa Aaaaitaaticn ar, HtU Kicha«Js, Bio. Ho.90-02469 For Claixmti Tbcna* M. Mu», 80q* - Tann'iBg, Moos & £*vl Jtery Statooat ot Clftiff filttis Ouptrt3< r 6, 1990 Oainnf 0 dttal00iaa AgzwMBt »i9n«i CAS Juguit 22, 1390 Statnait of An0uar filed by AaopcadBt cni August 1, 1991 «ign*l cms JUly 29,1991 i Itech 19, 1992 - T* Seaalxaaa Location LM

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betoreen Gary Peter Klahr Shearson Lehman Hutton, Inc. Larry Shatzkamer Merk Friedman 90-02467 Gary Peter Klahr was represented by James S. Ereedman, Esq., Phoenix, Arizona. Shearson Lehman Hutton, Inc., Larry Shatzkaner and Mark Friedman were represented by Keith Beauchamp, Esq. , of Lewis & Roca, Phoenix, Arizona. In a Statanent of Claim filed w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred W. Falk Claimant vs. CASE #90-02462 AWARD Neuberger & Berman Management, Inc. Respondent CASE SUMMARY Fred W. Falk, in a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1990, alleged that Respondent refused to execute a transfer from equity funds to a money fund on the day requested causing a loss of p

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna S. Dales, Claimant v. Salomon Smith Barney, Inc., Respondent Case Number: 00-04858 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Edna S. Dales, hereinafter referred to as "Claimant": John P. Freeman, Esq., Columbia*- South Carolina. For Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Christopher B. O'Malley, First Vice Pres

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Natalie Emery 90-02454 Name of Respondents Legg Mason Wood Walker, Inc. Champlin J. Carney William Jones, Jr. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 REPRESENTATION For Claimant: For Resp