N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 93-01541 Name of Respondent Scott F. Lewandowski REPRESENTATION OF PARTIES Prudential Securities, inc. ("Claimant") was represented by Warren Gouid, Esq. of Gould, Broude & Nelson, P.C., Fort Worth, Texas. Scott F. Lewandowski ("Respondent") was represented by Janie L Frank, Esq. of Sha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Richard D. Piecuch, Claimant, v. No. 93-01539 Financial Architects Securities Corporation, Jerome William Morris, Sr., Wedbush Morgan Securities, Inc., and James Anchony Geary, Sr., Respondents. REPRESENTATION OF PARTIES Claimant Richard D. Piecuch was represented by Buddy Rake, Jr., Esq., and Scott M. Zurlot, Esq., of Rake and Downey P.C., Phoenix, Arizona. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kerry R. Windmuller 93-01529 Name of Respondent James P. Braseth, n CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1993, Claimant Kerry R. Windmuller, who appeared Pro Se, alleged that Respondent James Braseth n of the firm Hayne, Miller & Farni, Inc. made promises and guara

N.A.S.D. AWARD NATIONAL ASSOCI ATI ON OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of Claimantfs) Kenneth and (Sril Rosenthal 93-01523 Name of Respondent(s) Shearson Lehman Hutton, Inc, Donald I. Levy REPRESENTATION For Claimants, Kenneth and Gail Rosenthal f'Rosenthal 11 ): pro se by Kenneth Rosenthal. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson") and Donald I. Levy ("Levy"): Ellen Slipp,

PHPI IP i i ' . L 1 \j \ W «™' «— I V/ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harvey and Elaine Luppescu 93-01522 Name of Respondents A.R. Schmeidler & Co., Inc. Arnold R. Schmeidler REPRESENTATION For Claimants, Harvey and Elaine Luppescu ("Claimants"): Christopher Lovell, Esq. located in New York, New York. For Respondents, A.R. Schmeidler

-,,-__ ll.j-.^j -.3SOC^ATICII Or' -ECURj .^.3 of Claimant ( s j Clarence D. Collins CASE -F 93-01516 I-iair.e of Respondent is j l Securities Znc . AQ^ar" Provence REP?-H3ENTATIC:; For Claimant: Fred T. Lowrance of Parser, Foe, Adams i Bernstein ror Respondent : John 5. 3arr of Maioney, Yeatts & 3arr CASE INFORMATION oca~e:"enz of Claim filed: 4/15/53 Claimant s Submission Agreement signea on; 4/13/93 JL=- teiv.ent 01 Answer rile

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between rtf Gretchen M. Humbert vs. Name of Respondent Kidder, Peabody & Co., Inc. Case # 93-015 15 ^PRESENTATION Claimant appeared pro se. For Respondent: Stella Chervin, Esq. in-house counsel at Kidder, Peabody & Co., Inc. CASE INFORMATION Statement of Claim filed: April 14, 1993. Claimant's Submission Agreement signed on: March 29, 1993.

::.A.J.Z. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Ir. ~r.e Matter cr tr.e .-.ic-traticn Between N"ame -~f Claimant -"""ephen A. Grinnell 93-01514 :Jame sf Respondent Mabon Securities Corporation REPRESENTATION For Claimant Stephen A. Grinnell ("Claimant"): Martin P. Unger, Esq., of Tenzer, Greenblatt et al. ?or Respondent Mabon Securities Corporation ("Mabon") : John E. r'.iley, Esq., of Kelley Drye et al. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald Arich 93-01512 Name of Respondents Prudential Securities, Inc. Vincent Charles Andriole CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 15, 1993, Claimant Charles Arich, who appeared Pro Se, alleged that in August 1983, he contacted Respondent Prudential Securities, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas R. Ehlers (Claimant) v. MetLife Securities, Inc. and State Street Research Investment Services, Inc. (Respondents) and MetLife Securities, Inc. and State Street Research Investment Services, Inc. (Third-Party Claimants) v. The Estate of Joseph Ehlers, (Third-Party Respondent) Case Number: 00-03646 Hearing Site: Chicago, Illinois REPRESENTATION OF