N.A.S.D. AWARD NAflONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Otra Clearing, Inc. Case No. 92-01246 Name of Respondent(s) Carl and Stephanie Canter REPRESENTATION For Claimant, Otra Clearing, Inc. ("Otra): Dennis A. Nowak, Esq. of Kirkpatrick & Lockhart. For Respondents, Carl and Stephanie Canter, ("the Canters"): Hank Vanderkam, Esq. of Vanderkam & Sanders. CASE INFORMATION St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of t)ie Arbitranon Betwe« David Laonie and Instrument Technical Services, lac. 92-01242 • JOIO831 Ffuik CM iky Rlohani BIDQSOIK Brian Angmli SEBQ&SSE&DQB For Claimants, David Laurie and Immunem Technical Services, Inc., at the bearing: Thomas B. Twtay, Jr., Esq., Mobile, Alabama and Leonani A. Wasbofcky, Esq., Metfrie, Louisiana. tot Respondents, Straflon Oakmoat, In

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Jung Sil Hong 92-01240 Name of Resoondent(s) First Montauk Securities Corp. Jonghee Park ^PRESENTATION For Claimant Jung Sil Hong: Wai Hui For Respondents Jonghee Park and First Montauk Securities Corp: Robert I. Rabinowitz. Esq. CASE INFORMATION Statement of Claim filed: April 9. 1992. Claimant Jung Sil Ho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In (he Matter ot' the Arbitration Between Name of Claimants Michael and Barbara Gross 92-01239 Maine of Respondents Merrill Lynch. Pierce. Fenner & Smith. Inc. Robert McKieman REPRESENTATION For Claimants Michael and Barbara Gross ("Claimants"): Richard D. Orlow. Attorney at Law. For Respondents Merrill Lynch. Pierce. Fenner & Smith. Inc. ("Merrill Lynch") and Robert McKiemon < "M

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerry and Sandra Apple Claimants CASE #92-01238 AWARD vs. Meriil Lynch, Pierce, Fenner & Smith, Inc. Stephen B. Wicker Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 9, 1992, Claimants Jerry and Sandra Apple who appeared Pro Se, alleged that Respondent Stephen

PUBUC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Nathaniel Green Claimant CASE #92-01233 AWARD vs. Shearson Lehman Hutton. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 9, 1992, Claimant Nathaniel Green who appeared Pro Se, alleged that in March 1987 he informed Respondent Shearson Lehman Brothers, Inc. by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Frederick R. and Hilda S. Huntress 92-01228 Names of Respondents Prudential-Bache Securities Inc., n/k/a Prudential Securities. Inc.. Michael Marsh and William Sellens Claimants were represented by Charles R. Hoover, Esq. of Phoenix, Arizona. Respondents were represented by Jesse B. Simpson, Esq. and Margaret R. Russe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sun Yung Kim Yongyop Kim Claimants CASH #92-01227 vs. AWARD Frank Hemmen Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1992, Claimants Sun-Yung Kim and Yongyop Kim who appeared Pro Se, alleged that Respondent Frank Hemmen of Shearson Lehman Brothers, Inc. recommended they buy Allia

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Nocera, (Claimant) vs. Jeffery Lent and Tucker Anthony, Inc. (Respondents) Case Number: 99-03159 Hearing Site: Boston, Massachusetts Claimant, Michael Nocera, hereinafter referred to as "Claimant": Grover S. Parnell, Jr., Esq., Finneran & Nicholson, PC, Boston, MA. Respondents, Jeffrey Lent ("Lent") and Tucker Anthony, Inc. ("Tucker"), hereinafter collectively referred

ASSOCIATICtT OF H.A.S.D. MOOD DEH£SS In tha Matter of tha Arbitration Between Brie Matenoan vs. 92-01225 Kennedy, Cabot & Ccnpany, IDC. William Ferrin dalSHQt: R. ESQ., gh*n>*«ut CelCS, For Respondents: George Bupper, Esq., Kennedy, Cabot & B«v«rly Hills, Oaopany, Inc., Statannt of Claim filed: April 6, 1392 Claimant's Suhni-ssioD AQEeeomt «^jf|u»5 CBJ Zftuccb 26, 1992 Joint Statanent of ADUMVT filed by Respcodaats: JOm 4