N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis Vladem 92-01433 Name of Respondents Shearson Lehman Hutton, Inc. Albert Zand For Claimant, Louts Vladem ("Vladem"): Patricia A. Shub, Esq. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Albert Zand ("Zand ): Debra A. Jenks, Esq. of Boose Casey Cikiin Lubitz Martens et al. CASE INFORMATION Statemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daryoush. Javaheri Claimant vs. CASE #92-01432 AWARD Howard Bash Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1992, Claimant Daryoush Javaheri who appeared Pro Se, alleged that on February 24, 1992 Respondent R.G. Dickinson & Co. assigned a new broker. Respondent Howard Bash

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION^ INC, CASE: 99-03175 David R. Fairchild for Christian Caring Center Church of Holy Light, Claimant vs. Quick & Reilly, Inc. and U.S. Clearing a division of Fleet Securities, Inc. Respondents. ATTORNEYS: Claimant, Christian Caring Center Church of Holy Light ("Claimant"), appeared through David R. Fairchild, Ontario, Canada. Respondents, Quick & Reilly, Inc. and U.S. Clearing Division of Fleet Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ben Butkus Case No. 92-01431 NameofResijttndentfsJ Prudentiai-Bache Securities Inc. For Claimant, Ben Butkus ("Butkus"): Randall Henley, Esq. of Henley & Brabham. For Respondent, Prudential Securities, Inc. ("Prudential"): Michael Arias, Esq. of Prudential. CASE INFORMATION Statement of Claim filed on: April 23, 1992. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herman and Rosalind Steinkoetter 92-01430 Name of Respondents Advest, Inc.; Newhard Cook & Co., Inc.; Christian D. Tompras REPRESENTATION For Claimants: Herman and Rosalind Steinkoetter were represented by Peter Sadowski, Esq. of The Stolar Partnership, located in St. Louis, Missouri. For Respondents: Advest, Inc. was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barry Potter 92-01428 Name of Respondents Paragon Capital Corporation George B. Levine Daniel Levine Frank J. Argenziano For Claimant, Barry Potter ("Potter"): Robin Corwin Campbell, Esq. of Atlas Pearlman Trop & Borkson, P. A., Fort Lauderdale, Florida. For Respondents Paragon Capital Corporation ("Paragon"), George B.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Margaret R. Lottinville as Successor Trustee of the James O'Brien Trust dated January 3, 1977. is amended May 5, 1977, and Individually, and Patricia J. McAllister and Mary M. Fredricks, Individually No. 92-01427 Name of Respondents Prudential Securities. Incorporated Summit Investment Corporation. Richard Harr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Sammie H. Nasur Robert Frolich Amelia Polakowski vs. Case # 92-01426 Name of.Respondents PaineWebber, Inc. Prescott, Ball & Turben Thomas Potter Jeffrey Rush REPRESENTATION For Claimants Sammie H. Nasur, Robert Frolich and Amelia Polakowski. ("Claimants") John F. Chambers Esq. from the law firm of Chambers Stei

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I-i che Matter of the Arbitration Between Thomas 2. Fairbank Claimant CASE #92-01425 vs, AWARD D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1992, Claimant Thomas E. Fairbanks who appeared Pro 3e, alleged that Respondent D.H. Blair & Co., Inc. failed to secure information about his backgroun

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mathew Rothman and Barbara Rothman, JTWROS vs. The Investment Center, Inc. Houston Brokerage Services, Inc. Joshua D. Wallach Respondents Claimants CASE #92-01419 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 24, 1992, Claimants Mathew & Barbara Rothman, who appeared Pro Se, allege