PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Paul Abbruscato vs. 92-02400 Name of Respondents Kir 1 in Securities. Inc. Sy Cohen CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on July 21. 1992. Claimant Paul Abbruscato. who appeared Pro Se. alleged that in March 199! he purchased a S25.000 face value Collateralized M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean Liptak, (Claimant) vs. Joseph C. Kane, Jr., Laidlaw Holdings Asset Management, Inc., Laidlaw Equities, Inc., and Laidlaw Global Securities, Inc., (Respondents) Case Number: 99-03260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jean Liptak, hereinafter referred to as "Claimant": Peter E. Fleming, III, Esq., Curtis, Mallet-Prevost, Colt & Mosle, Stamford,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Attila Szabo, Claimant v. Morgan Stanley Dean Witter Online, Inc. and Judith Rosenberg, Respondents Case Number: 00-01099 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California Robert T. Sullwold, Esq. Sullwold & Hughes San Franci

:: A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter or the ArDitration Between Name IT Paine Webber, inc. Case ff vs. 92-02399 Name of Respondent John Paul Guercio REPRESENTATION For Claimant: Edward P. Degenhart. Esq.. of PaineWebbcr. Incorporated. For Respondent: John Paul Guercio. Scon H. Goldstein. Esq. CASE INFORMATION Statement of Claim filed: July 20. 1992. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard S. Abrams, MD. Pensions Trust No. 92-02397 Name of Respondents^ Merrill Lynch, Pierce, Fenner & Smith, Inc. Guy Goodwin REPRESENTATION OF PARTIES Richard S. Abrams, MD appeared on behalf of the Claimant. For Respondents: Francis C. Musselman. Esq., Merrill Lynch, Pierce. Fenner & Smith, Inc., New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John C. Gilhooley 92-02396 Names of Respondents Westport Resources Investment Services, John Adams Vaccaro First Eastern Equity Corp., Inc. Sperber Adams & Co. Robert Parker REPRESENTATION For Claimant, John C. Gilhooley ("Gilhooley"): Harry W. Haskins, Esq. of Sarasota, Florida. For Respondents/Third-party Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name n of Claimant^ David A. & Amelia L. Mancini. TTEES/James David A. Mancini 92-02390 of Respondet The Ohio Company REPRESENTATION For Claimants: David A. Mancini. For Respondent: James A. Francis, Esq. of The Ohio Company. CASE INFORMATION Statement of Claim filed: July 17, 1992. Claimant. James Mancini Trust's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward A. Baitiett 92-02389 Name of Respondents The Chicago Corporation William Dugan CASE SUMMARY In a claim filed with the Nations! Association of Securities utters, Inc. on July 20, 1992, Claimant Edward A. Baitiett, who appeared Pro Se, alleged 'nat Respondent The Chicago Corp., through it's registered representative, R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot the Arbitration Between Name of Claimants Morris and Norma Pollekoff 92-02385 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n.k.a. Smith Barney Shearson, Inc.) Robert Rubenstein REPRESENTATION For Claimants Morris and Norma Pollekoff ("Claimants"): Sheila Footer, Esq. of the law firm of Silver, Friedman & Taff. For Respondents Smith Barney Harris

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or' Claimant Karl Lundquist 92-02384 Name of Respondents Hamilton Investments .Arnold Fiscelli REPRESENTATION For Claimant Karl Lundquist: Anthony V. Trogan, Jr.. Esq. of Weisman, Trogan. Young & Schloss. P.C. For Respondents Hamilton Investments. Inc. and Arnold Fiscelli: Rosemahe J. Guadnolo. Esq. of Horvath Lieber St. Quilici. P