N.A.S.I] NATIONAL ASSOCIATION OF SI CURTTIES DEALERS . AWARD In the Matter of the Arbitration Name of Claimant Frank V. Cinquemani Name of Respondents John L. Lembo, m Hanover Sterling & Co., Ltd, Betw sen 95-00292 CASE S LJMMARY that Respondents Hanover Sterling & m ("Lembo"), purchased and sold sti In a claim filed with the National Aisociation of Securities Dealers, Inc. on January 19, 1995 Claimant Frank V. qinquemani, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David & Marguerite Leonard Award No, vs. 95-00286 Name of Respondents Smith Barney Shearson, Inc. John R. Thornbury REPRESENTATION For Claimants, David Leonard ("Mr. Leonard") and Marguerite Leonard ("Ms. Leonard") (collectively "Claimants"), appeared John B. Madden, Jr. from the law firm of Arent Fox Kitner Plotkin &

V Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harvey Kahaner, M.D., (Claimant) vs. Salomon Smith Barney Inc. and John D. Halotek, (Respondents) Case Number: 00-03796 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harvey Kanaher, M.D., hereinafter referred to as "Claimant": Norman S. Zalkind, Esq., Zalkind, Rodriguez, Lunt & Duncan, Boston, MA. Respondents, Salomon Smith Barney Inc. ("SSB")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate Of Annabelle P. Bissell Award No. vs. 95-00282 Name of Respondents Paine Webber, Inc. Robert M Burke REPRESENTATION For Claimant, Estate of Annabelle P. Bissell ("Claimant"), appeared Howard M. Rosenfield, Esq. from Avon, Connecticut. For Respondents, PaineWebber, Inc. ("PW") and Robert M. Burke ("Burke"), appear

M.A-S-P- AWARD MATTOMAT A^nTTATTnN OF SKTtTRmRS HFAT FRS INC. - In the matter of the Arbitration Between Tvjame nf Plaimant Clifford S. Evans v. NASD Arbitration No. 95-00279 Prudential Securities, Inc. and Steven R. Geraghty For Claimant : Clifford S. Evans, In Pro Per For Respondents: Joseph S. Scbuchert, Esq. Keesal, Young & Logan Long Beach, California Statement of Claim filed: January 19, 1995 Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Planners Independent Management, Inc. 95-00277 Name of Respondent James Edward Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant Planners Independent Management, Inc, ("Claimant"), who was represented by Mary R. Limoges, President, alleged that Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Werner Weingartner 95-00276 Name of Respondentfs) Fundamental Service Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995 Claimant Werner Weingartner, who appeared Pro Se, alleged that Respondent Fundamental Service Corp. should be held liable for losses he has suf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen Berger 95-00275 Name of Respondents Douglas L. Shearer Stanley Q. Mok CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant Helen Berger ("Claimant"), who appeared Pro Se, alleged that Respondents Douglas L. Shearer ("Shearer"), and Stanley Q. Mok ("Mok")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albert H, Jacoby 95-00274 Name of Respondent A.S, Goldmen & Co. Stephen Kaplan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Enc. on January 17, 1995, Claimant Albert H, Jacoby ("Claimant"), who appeared Pro Se, alleged that Respondents A.S. Goldmen & Co. (" A,S- Goldmen") and Stephen Ka

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Philip C. Mount and NASD Case Number 95-00270 Names of Responflents Traders & Dealers, Incorporated (#k/a The Trading Desk, Incorporated), Michael D. Cox, Short-Cox Company and Jerry Short Name of Third-Party Respondent Jerry Short REPRESENTATION OF PARTIES Claimant, Philip C. Mount was represented by Timothy M. M