PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00371 AWARD In the Macter of Che Arbitration Between Otis B. Miller, as trustee Claimant vg . Quick & Reilly, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 31, 1992, Claimant Otis B. Miller who appeared Pro Se, alleged that on December 20, 1991, before leaving on a trip to Tucson, Arizona, he r

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03060 Olde Discount Corporation, claimant vs. Karlan Jackson & Sherina Jackson, respondents. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house-counsel Aaron L. Kleid, Esq., Detroit, ML Respondents, Karlan & Sherina Jackson (Collectively "Respondents"), did not respond to the Statement of Claim. DATE FILED: July 6, 1999 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCZATICN OF baLUKi'i'H&> DEALERS"' In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street NewYork. N.Y.I 0004 FAX (212) 858-4389 92-00365 Sal Brothers TM claimant For Respondent Gottlieb et al. ("Claimant") : he appeared pro se. Brothers IDC. ("Salonon") s Lindy Johnson, of dejazy, Statement of Clnlm

N.A.S.D. AWARD NKTICNRL ASSOdXndJ GP SSCOSTTISS DEALERS In tba Matter of the Arbitration. of George Clark Lambert NASD Arbitration No. 92-00354 Wllshire Discount Securities Gtrtta Roach Phil Fistori Poor dadasnt: In fto Se For Raspcndent: In Pro Se Statement of Claim fileds January 30, 1992 Claimant's Submission Agreement gignffd ons February 12, 1992 Statement of flnummr filed by Respondents ons Hay 1, 1992 Respondent, Pbil

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between NamesofCJaiinants Ernest J. Dean P. Allan Heim Paul W. Aichele David J. Walker James E. and Tonia L.B. Carriger Mortgage Connection, Inc. Graham M. Archer 92-00345 NamesofResDondents Princeton Financial Group, Inc. Jerry Frederick Shorthouse Anthony Joseph Pontieri Curt Russell REPRESENTATION For Claimants Er

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00342 AWARD In the Matter of the Arbitration Between Pamela A. Zimmerman Claimant vs. Murphy Favre, Inc. William Newkirk Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 30, 1992, Claimant Pamela A. Zimmerman, through her counsel, Charles Ray Byrd, Esq., of Centralia, WA, alleged that Respondents Murp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Manor of the Arbitration Between Harry A. Koppei Case No. 92-00340 J.W. Charles Security Inc. Daniel DaUey For Claimant, Harry A, Koppel ("Koppel"): Robert Wayne Pearoe, Esq. of Lerner and Poarce, P.A. For Respondent, J. W. Charles Securities, Inc. ("JWC*): Howard A. Teacher, Esq. of Teacher Valinsky ft Kain. Respondent, Daniel Dafley ("Da-Boy"): Em S&. CASE AaMdded Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants Roger and Doris Haas 92-00339 Name of Respondents ManEquity, Inc., International Capital Formation Corp., VSR Financial Services, Inc., Donna Carlton, Mark Carlton, and Carlton & Associates REPRESENTATION For Claimants: Samuel L. Hanson, Esq. of Briggs and Morgan, Minneapolis, Minnesota. For Respondent ManEquity, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Loy, Jr. 92-00337 Name of Respondents Smith Barney, Harris Upham & Co., Inc.; Warren W, Langford For Claimant: George M. Loy, Jr. was represented by Harry O. Moline, Esq. and Sherri C. Strand, Esq. of Moline, Onsen, Mauze'. Leggat & Shostak, located in St. Louis, Missouri, and Edward Lander, Esq. of Lander & Berkowitz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Cnterresoondent Albeit J. Van Maren No. 92-00336 Shearson Lehman Brothers, Inc. David Asplund REPRESENTATION OF PARTIES For Claimant: Richard J. Nogai, Esq. of Lillig & Thorsness, Ltd., Oak Brook, Illinois For Respondents: Bradley C. Twedt, Esq. of Neal Gerber & Eisenberg, Chicago, Illinois CASE INFORMATION Statement of Claim filed: Janua