N.A.S.D. AWARD NATIONAL ASSOOATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name o Maria de Jesus H. Navar and 92-01271 Name ftf 1! Merrill Lynch, Pierce Feoaer & Smith, Inc. and Jerome J. Hammann REPRESENT ATIQN OF Maria de Jesus E. Navar ("Claimant") was represented by T.O. Gfltttap, Jr., Esq. El Puo, Texas. Meniil Lyacn, Pierce Fenner A Smith, lac. ("MartiU") waa iijHMnaui by Joseph L. Hood* Jr., Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John F. Schulte dba John F. Schulte Inc. 924)1265 Name of Respondents Martin R. Frankel Thomas F. White Sonia D. Schulte Thomas F. White & Co. Inc. REPRF^iKNTATION Claimant John F. Schulte dba John F. Schulte Inc. ("Claimant") represented himself. For Respondents Martin R. Frankel ("Frankel") and Sonia D. Schult

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Steven G. Kashian vs. Robert Todd Financial Corp. Steven Cloyes Respondents Claimant CASE #92-01262 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 10, 1992, Claimant Steven G. Kashian, who appeared Pro Se, alleged that in November 1991 he started to work as a registered represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Wgjflg of cia.imantB/CountieTT'eapQndentra Mark Schneider Frank DiMaria Rosenthal Collins Group No. 92-01259 ^ Shearson Lehman Brothers, Inc. For Claimants/Counterrespondents: Kenneth F. Berg, Esq. of Fishman & Merrick, P.C., Chicago, Illinois. For Respondent/Coxinterclaimant: Thomas M. Knepper, Esq. of Neal Gerber & Eisenberg, Chicago,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Theodore C. Hadgis Theodore C. Hadgis DDS PC Theodore C. Hadgis Employee Pension Trus Theodore C. Hadgis Profit Sharing Trust 92-01258 Name of Respondents Dean Witter Reynolds Inc. Philip Sloan For Claimant: Anthony V.Trogan, Esq. of Weisman, Trogan, Young & Scnloss, P.C. For Respondent: Mark R. Werder, Esq. and Steven

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Shiue - Tsz Huang NASD Arbitration No. 92-01257 Name of Respondents U.S. Pacific Financial Services, Inc. and Lishing Hsu REPRESENTATION For Claimant: Grace Lin, Esq. Alhambra, California For Respondent: Gregory Sherwin, Esq., Fields, Fehn & Sherwin Los Angeles, California CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Judith S. Hoyt, as Trustee 92-01255 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on April 10, 1992, Claimant Judith S. Hoyt, Trustee who appeared pro se, alleged that Respondent Dean Witter Reynolds. Inc. misled her into purchasing the Dean Witt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bernard Elinoff vs. Case No. 99-03162 Name of Respondent Kevin J. Ruggiero REPRESENTATION OF PARTIES Claimant, Bernard Elinoff, hereinafter referred to as "Claimant": Steven D. Irwin, Esq., Markel, Schafer & Goldman, Pittsburgh, Pennsylvania Respondent, Kevin J. Ruggiero, hereinafter referred to as "Respondent" did not appear. CASE INFORMATION

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony and Eileen DeMichael Claimants vs. Quick & Reilly, Inc. John Crofton Respondents CASE CASE #92-01253 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on April 10, 1992, Claimants Anthony and Eileen DeMichael who appeared Pro Se, alleged that on January 8, 1992 they placed an order to sell 15

H.A.S.D. AKRRD Arbttntkm NATIONAL ASSOCIATION OF OEALISS In the Hatter of the Arbitration Between Gilbert C. tbya Mama of Respondent (s) Wheat First Securities, Inc. Harold s. Bissett, Jr. Claimant, Gilbert C. Ifeys, ("Maya") %•» pro ae Aaaoclatfon of Sesurttto* Dtetifi. Inc. On* East Broward Boulevard Suit* 1000 Ft. Laudwoato. Florida 33301 (305) 522-7391 Case No. 92-t#252 For Respondents, Nbeat First Securities, Inc