PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert M. & Virginia K. Butler 92-02515 Name of Respondents Calvert Securities. Inc. Conrad L. Richey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30. 1992. Claimants Robert M. & Virginia K. Butler, who appeared Pro Se, alleged that on July 1. 1987 Respondent Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Jurczyk vs. 92-02511 Name of Respondent(s) First American Biltmore Securities, Inc. Gary Graham J. Gordon Nevers CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on July 30,1992 Claimant Stanley Jurczyk who appeared Pro Se alleged that on February 03, 1992 he opened an ac

NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of. Claimant Catherine A. Gauch and 92-02505 Napie of Respondents Schneider Securities, Inc., Jon Joslin REPRESENTATION OF PARTIES Catherine A. Gauch ("Claimant') was represented by Luke J. Danielson, Esq. and Kimberly J. Graber, Esq. of Gersh & Danielson, Denver, Colorado. Schneider Securities, Inc. ("Schneider*) was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George Medvecky David N. Ramona 92-02498 Name of Respondents Shearson Lehman Brothers, Inc. Andrew Stover REPRESENTATION For Claimants: Daniel E. Wolfson, Esq. of Wolfson & Associates. For Respondents: Tom Knepper, Esq. of Neal Gerber et al. CASE INFORMATION Statement of Claim filed: July 28, 1992. Claimants' S

PU6L/C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameafCJaimants Blase K. Sacus & Patricia Sacus 92-02494 Name of Respondents Thomas James Associates. Inc. Thomas Morton CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on July 29, 1992. Claimants Blase K. and Patricia Sacus, who appeared Pro Se, alleged that in July 1990 Claimant Blase K.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Lawrence H. Van der Aa 92-02491 Name of Respondent High Yield Management Securities, Inc. CASE SUMMARY In a claim filed with the National Association of: Securities Dealers, Inc. on July 28, 1992. Claimant Lawrence H. Van der Aa, who appeared Prft.Se, alleged that Respondent High Yield Management Securities, Inc. was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o Claimant Ronald Lott 92-02490 Name Stratum Oakmont, Inc.; Jordan Belfort; Kenneth Greene; Daniel Porush; Ezra Farbiarz; David Beall REPRESENTATION For Claimant: Ronald Lott ("Lott") was represented by Michael Farrell, Esq., with Kullman, Inman, Bee, Downing & Banta, P.C., located in Jackson, Mississippi. For Respondents: Stratton Oakm

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carol J. Freitag 92-02487 Name of Respondents Joseph thai, Lyon & Ross, Incorporated Rodney M. Kadymir George Carhart CASE SUMMARY In a claim filed by the National Association of Securities Dealers, Inc. on July 28, 1992, Claimant Carol J. Freitag by and through her counsel Joseph Pecora, Esq., of Dierker Bender

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Sarah and John Monier 92-02485 Names of Respondents Pradential-Bache Securities Inc. n/k/a Prudential Securities, Inc. and Vincent Lazara Claimants, John and Sarah Monier were represented by Barry Kirschner, Esq. of Raven, Kirschner & Norell, Tucson, Arizona. Respondents, Prudential-Bache Securities, Inc. n/k/a Prudential

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jan, J. Michael, Jason, and Jonathan Doughty, Claimants vs. Daniel Kehrer, Tammy Hoch, Jeremy Michelman, Pam Cavness, and Edward D. Jones & Co., Respondents. Case Number: 99-03270 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimant(s), Jan, J. Michael, Jason, and Jonathan Doughty, of Jempe, Arizona, hereinafter {collectively} referred to as "Claimants", appeared pro