PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCIaimant Peter Shelley 92-01006 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Peter Shelley, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. failed to execute an order to sell 1,000 sha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In i no Matter or the Arbitration Between Name ft CUiimatys John A: Diva Brulhnann Name of Respondents National Financial Services Corporation Brian Mitchell \ustm Securities. Inc. REPRESENTATION For Claimants John i: Diva Brullmann ("Claimants"): John Brullmann represented the Claimants. For Respondent National Financial Services Corporation i"NFSC'"): Michael Shannon. Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim^nj Stuart H. Lessans 92-00989 Name of Respondents Donald M. Faulkner Branch Cabell & Co. REPRESENTATION For Claimant Stuart H. Lessans ("Claimant"): Elina Y. Hum, Attorney at Law and Mark Kotlarsky, Attorney at Law. For Respondents Donald M. Faulkner ("Faulkner") and Branch Cabell & Co. ("Branch Cabell" hereinafter collect

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00987 AWARD In the Matter of the Arbitration Between Robert E. & Marjorie L. Tevis Claimants vs. First Choice Securities Lisa Fertman Jay Fertman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1992, Claimants Robert E. & Marjorie L. Tevis, who appeared Pro Se, alleged that on July 8, 1991 Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kathleen A. & Maureen A. Ferguson - Claimant vs. CASE 892-00986 AWARD James Minella Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1992, Claimant Kathleen A. & Maureen A. Ferguson who appeared Pro Se, alleged that on November 6, 1989 they entered the Prudential Bache High Yield Fun

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #92-00981 AWARD In the Matter of the Arbitration Between Charles J. Thorne Claimant vs. Wedbush Morgan Securities, Inc. Wilshire Discount Brokerage* Services Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1992, Claimant Charles J. Thorne, who appeared Pro Se, alleged that Respondents Wedbush Morgan Se

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Arnold S. Noler, (Claimant) vs. Chase Manhattan Bank, (Respondent) Case Number: 99-03130 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arnold S. Noler, hereinafter referred to as "Claimant", appeared pro se. Respondent, Chase Manhattan Bank, hereinafter referred to as "Respondent": Michael A. O'Connor, Esq., Vice President and Assistant General Counsel, Chase Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) PUBLIC Gerald R. and Linda M. Bryan 92-00980 Name of Respondents) Kidder. Peabody & Co.. Incorporated Thomas W. Fox REPRESENTATION For Claimants Gerald R. and Linda M. Bryan: Louis C. Alvin, Esq. sole practitioner. For Respondents Kidder, Peabody & Co.. Inc. and Thomas W. Fox: Richard Kelly. Esq. in- house counsel at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between " Name of Claimants Charles & Lola Wentz 92-00977 Name of Respondents Shear son Lehman Hutton. Inc. Roben Simmen RJgplEff DENTATION For Claimants at the hearing: Bruce Pearson of Fargo, North Dakota. For Respondents at the hearing: Skip Durocher, Esq. of Dorsey & Whitney, Minneapolis. Minnesota. CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marion H. Randolph, Jr. 92-00976 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimant: Marion H. Randolph. Jr. For Respondent. Prudential Securities, Inc.: Debbie C. Stone. Esq. CASE INFORMATION Statement of Claim tiled: March 19, 1992. Claimant's Submission Agreement signed on: March 10, 1992.