NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between RANDY DALE Claimants v. NASD No. 93-2634 KENNEDY, CABOT & CO. Respondents Representation For Claimant: Randy Dale For Respondent: George Kupper, Esq. of Kennedy, Cabot & Co. Case Information Statement of Claim filed: July 7, 1993 Claimant's Submission Agreement signed: June 30, 1993 Statement of Answer filed on: September 1, 1993 Respond

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Harold C. Vestrem 93-02632 Name of Responde^ Dean Witter Reynolds. Inc. William Bond REPRESENTATION For Claimant: Harold C. Vestrem.(" Vestrem") was represented by Christopher L. O'Byrne, Ei of McManus & O'Byrne, located in Port Washington, Wisconsin. For Respondents: Dean Witter Reynolds. Inc, ("Dean Witter 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Honey Levinson Case # 93-02626 vs. Name of Respondents Eric D. Emanuel Emanuel & Co. REPRESENTATION Claimant, Honey Levinson, was not represented by counsel but was assisted by her husband, Mr. Levinson. Respondent, Eric D. Emanuel ("Emanuel") and Emanuel & Co., (collectively Respondents), Axel D. Mehrle employed by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Litwer 93-02602 Name of Respondents Josephthal Lyon & Ross, Inc. Cronley E. Hardwick CASE SUMMARY % In a claim filed with the National Association of Securities Dealers, Inc. on July 2, 993, Claimant Susan Litwer, who appeared Pro.Se, alleged that on or about August 12, 1991, Respondent Cronley E. Hardwick telepho

N.A.SD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas R. Connelly 93-02598 Name of Respondents PaineWebber, Inc. Jack Cashman PaineWebber Properties, Inc. REPRESENTATION For Claimant Thomas R. Connelly ("Claimant"): Killis T. Howard, Attorney at Law, Lynchburg, VA. For Respondents PaineWebber, Inc., Jack Cashman and PaineWebber Properties, Inc. (collectively refe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph and Audrey Erti, (Claimants) vs. Prudential Securities Inc. and James Reilly, (Respondents) Case Number: 00-03709 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Joseph and Audrey Erti, hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Prudential Securities Inc. ("Prudential") and James Reilly ("Reilly"), he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shinu and Prabha Murthy Case # 93-02596 Name of Respondents Stockbridge Partners, Inc. Philip A. Parker Kurt Feshback REPRESENTATION For Claimants, Shinu and Prabha Murthy ("Claimants"), Roger W. Van Deusen, Esq., from the law firm of Gaines & Stern Co., LPA located in Cleveland, Ohio. For Respondent, Stockbridge P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madeline A. Page Case # vs. 93-02588 Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION For Claimant, Madelin A. Page ("Claimant"), Robert W. Page, Jr., located in San Francisco, California. For Respondent, Merrill Lynch Pierce Fenner & Smith ("Respondent"), Michael E. Olney, Esq., in-house couns

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Janv Batcha Claimant NASD Arbitration No 93-02572 Shearson Lehman Hutton, Inc. Respondent For Claimant: James E. Smith, Esq. - Las Vegas, Nevada For Respondent: John Bevilacqua, Esq.: Smith Barney Shearson, Inc., New York, New York CASE INFORMATION Statement of Claim filed: June 30, 1993 Claimant's Submission Agreement signed: June 22

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Hyman Schwartzberg Testamentary Trust . fc ~.— 93-02564 Name of Respondent Smith Barney Harris Upham & Co., Inc. REPRESENTATION For Claimant, Hyman Schwartzberg Testamentary Trust ("Schwartzberg Trust"): Melvin N. Lechner of MNL Consultants, Inc. For Respondent, Smith Barney Harris Upham & Co., Inc. ("Smith Barney")