PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. 92-02650 Name of Respondent James Haynes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, Claimant PaineWebber, Inc., through its in-house counsel Garry Stegeland, Esq., alleged that Respondent James Haynes failed to submit to the transfer agent shares of Chris C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.G. Klein & J. Screen Co-Executors/ William D. Melton 92-02649 Name of Respondents Gruntal & Co., Inc. Soils Kaslow CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, C.G. Klein & J. Screen Co-Executors for William D. Melton, alleged that Respondent Gr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Evan Solomon 92-02647 Name of Respondent Gruntal & Co.. Inc. CASE STftMMARY In a claim filed with the NationaJ Association of Securities Dealers. Inc. on August 7. 1992. Claimant Evan Solomon, who appeared Pro Se, alleged that Respondent Gruntal & Company executed an order to purchase 50"ADJ Conversion to SPX index o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gregory I. Goldberg (Claimant) v. CIBC Oppenheimer Corp. and Demos Argyros (Respondents). I Case Number: 99-03296 Hearing Site: St. Louis, MO REPRESENTATION OF PARTIES Claimant, Gregory I. Goldberg, hereinafter referred to as "Claimant," was represented by Lawrence R, Goldberg, Esq. of Goldberg, Katz & Stansen, P.C. St. Louis, MO Respondents CIBC Oppenheimer Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard I. Waraksa 92-02644 Name of Respondents Sbearson Lehman Brothers, Inc. Janet McGlynn For Claimant: Andrew G. Messina, Esq. of O'MaUey, Deoeea, Messina & Oswecld. For Respondents: John R. Snyder, Esq. of Sbearson Lehman Brothers, Inc. CASE INFORMATION Statement of Claim filed: August 6, 1992. Claimant's Submissio

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virgil H. Edwards No. 92-02641 Name of Respondents William C. Bumside & Co.. Inc. Willliam C. Burnside REPRESENTATION OF PARTIES For Claimants: Thomas M. Knepper, Esq. of Neal Gerber & Eisenberg, Chicago, Illinois. For Respondents: Stephen H. Cohen, Esq., and Ruta K. Stropus, Esq. of Sachnoff & Weaver, Ltd., Chicago, Illino

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between N[ajnj of Claimant! s> Sarajane J. Rinckenberger 92-02638 Name of Respondent! s) Prudential Securities Inc Mark Sklar REPRESENTATION The Claimant appeared pro se. For Respondents Mark Sklar and Prudential Bache Securities. Inc.: Gary A. Klein. Esq. CASE INFORMATION Statement of Claim tiled on: August 6. 1992. Claimant s S

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Danny M. and Betty L. Arnold MODIFIED AWARD 92-02635 Name of Respondents Prudential Securities Inc James Keenan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7. 1992. Claimants Danny M. and Betty L. Arnold, through their counsel, Robert M. Roth of RM Roth &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herbert and Annabelle Wolfzahn 92-02632 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on August 7, 1992 Claimants Herbert and Annabelle Wolfzahn alleged that on April 4, 1991 they purchased 1700 Warrants of Ann Taylor Holding, Inc. for $11,52

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Timothy M. Lucas 92-02630 Name of Respondent Quest Capital Strategies, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, Claimant Timothy M. Lucas, who appeared Pro Se, alleged that Respondent Quest Capital Strategies, Inc. made an error in his account whe