N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger A. & Irene L. Carter Case# vs. 95-00215 Name of Rffipondent Fidelity Brokerage Services, Inc. REPRESENTATION For Claimants, Roger & Irene L. Carter, Ralph A. Dyer, Esq., of Law Offices of Ralph A. Dyer, located in Portland, Maine. For Respondent, Fidelity Brokerage Services, Inc., Robert A. Buhlman, Esq. of Binghrnan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roy Clai Brown ~ 95-00214 Name of Respondents Oppenheimer & Co., Inc. John Charles Edwards REPRESENTATION Claimant Roy Clai Brown ("Brown") was represented by John Connolly, Esq., Alexandria, VA Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and John Charles Edwards ("Edwards") were represented by Joseph Pickard,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael S. Evans and 00-3791 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES Michael S. Evans ("Claimant") was represented by Ross Foster, Esq., Law Offices of Ross T. Foster located in Fort Worth, Texas. Charles Schwab ("Respondent") was represented by Robb Crowe, Esq. of Charles Schwab & Co. Inc., located in San Fra

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Edward Buckney and 95-00212 Name of Respondent Chatfield Dean & Company Nicholas P. Madamas, Jr. REPRESENTATION OF PARTIES Edward Buckney ("Claimant") was represented by Martin A. Blumenthal, Esq., Chicago, Illinois. Chatfield Dean & Company ("Respondent Chatfield") was represented by Christa D. Taylor, Esq., Chatfield De

—rf- N,A.S n AWARD NATTHNAT. ASSOrTATTON OF SFnTRlTTRS DF.ALF.RS. TNC. In the matter of the Arbitration Between of Clfri Kem Dibbs v. NASD Arbitration No. 95-00203 Name, nf " Smith Barney, Inc. and Lee West RRPRRSRVTATTON For Claimant: I. Richard Roman, Esq. Beverly Hills, California For Respondent Smith Barney, Inc.: Pete S. Michaels, Esq. Smith Barney, Inc. Beverly Hills, California For Respondent Lee West: Mitchell Alb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elma Slade Chess 95-00199 Name of Respondents Smith Barney Shearson, Inc. Martin Shea CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1995, Claimant Elma Slade Chess, through her representative, Brooks S. Thayer, Esq., of Latanzi, Spaulding & Landreth, in Orleans, MA.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mark and Susan Johnson Award No. vs. 95-00194 Name of Respondents ©National Association (-U.S. Investments, Inc. Securities Dealers '"' James P. Donahue Sherry D. Crisco All Rights Resenx. Edward E. Griffin Rocky Lynn Griffin REPRESENTATION For Claimants, 'Mark Johnson and ^san ^JoluiSfe ("Ck 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey B. Bartlam 95-00191 Name of Respondents Kidder, Peabody & Co., Incorporated Douglas Black REPRESENTATION For Claimant Jeffrey B. Bartlam ("Claimant"): Jeffrey P. Bloom, Esq., Metzger, Hollis, Gordon & Mortimer, Washington, D.C. For Respondents Kidder, Peabody & Co. , Inc. ("Kidder") and Douglas Black ("Black")

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In -the Hatter of the Arbitration Between Name of claimant PaineWebber, Inc. 95-00190 Name of Respondent Joseph P. Stelweck REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant")! Lisa Catalano Tillem, Litigation Counsel for PaineWebber, Inc. For Respondent Joseph P, Stelweck ("Respondent"): appeared pro se CASE INFORMATION Statement of Claim filed: January 13, 1995 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of^Claimant i McDonald & Co. Securities, Inc. v. Case No. 95-00188 Name of Respondent Robert Field REPRESENTATION For Claimant, McDonald & Co. Securities, Inc., appeared Henry V. Kerr, Esq. in-house counsel located in Cleveland, Ohio. For Respondent, Robert Field, appeared Robert E. Giffin, Esq. located in Columbus, Ohio. CASE