N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant? s) Eugene P. Ancel 92-00971 Name of Respondent^) Thomas lames Associates, Inc. REPRESENTATION For Claimant, Eugene P. Ancel ("Ancei"): Joseph S. Williams, Esq. For Respondent, Thomas James Associates, Inc. ("Thomas James"): Susan A. Roberts, Esq. of Haner, Secrest & Emery. CASE INFORMATION Statement of Claim filed: Mar

W.A.S.D, AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration of Dale M. Long and Vicfci L. Long, individually and as Trustee* of the 0«JLe M. Long, P.O. profit Snaring Plan and the Dal* M. Long, ?.C. Pension Plan and 92-00919 PaineHebber, Inc. and Trent D. Stiles RBPRESMITA'PTQfl Q? PARTIES Claimants were represented by Dennis B. Polk, E»q. of Holley, Albertaon, & Polk, F.C., Golden, Colorado.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e nf The Estate of Norman Davidson, Jr. and the Norman Davidson, Jr. Trust NASD Arbitration No. 92-00918 Name of Respondent^} Bear Steams & Co., Inc. Edward Buliavac Andrew E. Haas For Claimants: James L. Sanders, Esq., Sheppard, Mullin, Richter &. Hampton, Los Angeles, California For Respondents: Samuel A. Keesal, Jr., Esq. and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f92-00917 AWARD In che Matter of the Arbitration Between Wallace H. Rosenbaum Claimant vs. Chacfield Dean & Co., Inc. Sanford Greenberg Robert Lueke William Lasley Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1992, Claimant Wallace K. Rosenbaum, who appeared Pro Se, alleged that Respondent Robert Lueke, th

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Nicholas P. Zackoff 92-00913 Name of Respondents/Counter-Claimant Masterson Moreland Sauer Whisman. Inc.; Thomas W. Masterson REPRESENTATION For Claimant/Counter-Respondent: Nicholas P. Zackoff ("Zackoff 1 ) was represented by Broadus A. Spivey, Esq. and Thomas P. Prehoditch, Esq. of Spivey, Grigg, Ke

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00911 AWARD In the Matter of the Arbitration Between Alexander Toibman Claimant vs. Pacific Brokerage Services, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1992, Claimant, Alexander Toibman, who appeared Pro Se, alleged that on December 4, 1991 he instructed Respondent, Pacific Brokerage Services, Inc. to

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! si Johnnie R. Flowers 92-00970 Name of Respondent s) Prudential Securities Inc For Claimant Johnnie R. Flowers. Jr.: Montgomery Knight. Esq.. of Knight Dudley Dezern & Clarke of Norfolk. Virginia. For Respondent Prudential Securities. Inc.: Marc Dobin. Esq. of Casey Cilkin Lubitz Martens McBane and O'Connell. of West Palm Beac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert W. Francis NASD Arbitration No.92-00963 Name of Respondents Smith Barney, Harris Uphiam & Co., Inc. James R. Peterson REPRESENTATION For Claimant: Carroll R. Melton, Marina del Rey, California. For Respondent Smith Barney: Timothy N. Will, Esq., Keesal Young and Logan, Long Beach, California. For Respondent P

N.A.S.D. AWARD NAHCNAL ASScdAncN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nancy R. Dinsmore NASD Arbitration No. 92-00961 PaineHebber, Incorporated Claimant: Robert: T. H?lT?™j? r 'f Investors Arbitration Services, Inc., Woodland Hills, ffrlif p>rr v 1 * For Respondent; Scott M. Ratchick, Esq. - PaineWebber, Inc., Los Angeles, Ca. Statement of f^a-i™ filed: March 18, 1992 Cla

N.A.S.D. SWARD ASflOCTfli'lCN OF SECURITIES DEAIJERS la the Matter of the Arbitration Between Christine H. Barlett vs. NASD #92-00960 Arthur D. Gisfcel, me. For dainBixt: Charles D. Chalmers, Esq., of SIcj erven, Msrrill, MacFherson, Franklin & Frlel, gyn Francisoo, Caldlfoziiia. For Respondent: Phillip McLeod, Esq., of Keesal, Young & Logan, San Francisoo r California. Statement of Hnlm filed: MarcH 18, 1992 Claimant's gi-»Hm4ggjfTn