N.A.S.D. AWBRD NKTTCNRL ASSOCXRTICIJ OF SECURITIES DEALERS In. the Matter of the Arbitration Between Name of Sdka Davis 90-03498 Name of Respondent < s) Merrill Lynch, Pierce Feoner & Smith, Inc. Frank J. Phillips, Jr. For Claimant: Ertta Davis was represented by H. Victor ibomas, Esq. of Bennett, Broocfcs, Baker & Lange, L.L.P., Houston, Tanas. For Respondents: Msrrlll Lynch, Pierce, Fanner & Smith, Inc. and Frank J. Phillips, Jr. ware r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE ft90-03491 AHAKD In. the Matter of the Arbitration Between Harry H. & Anne C. Hamarman Claimants vs. American Preferred Securities Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1990, Claimants Harry H. & Anne C. Hamarman, who appeared pro se, alleged that Respondent American Preferred Securities mismanaged Claima

N.A.S.D. AWARD *fbHf*U*i ^•--Ij^ja^l * ---- 1— «• -- jkJ rUUOfUU AilOCIlllOtl Ol NATIONAL ASSOCIATION OF SECURITIES DEALERS' SttUrittes DMMr*. Inc. NASD Financial Centtr in the Matter of the Arbitration Between fc 10004 Sheri Mitchell 90-03487 Wakefield Financial Corp. Michael Carter Al Minella Parsons Eng For Claimant, Sheri Mitchell: William Ng. King, Esq. Respondents, Wakefield Financial Corp., Michael Carber, Al Minalla and P

N.A.S.D. AJORD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between) ) Name of Claimant (a) ) =_===«*=* } JOC < "ttar>n'< T^ aivH Ell€Q fhanr^pg JtWOS ) ) ) Oae Do. 90-03486 Name of Respondent(s) ) ) Prudential-Bache Securities Inc. ) Robert D. Child ) Poor < " r i«'< tn«i7f^ f Jon *TK? ELlen fymrtn-trig ("the Channings"): Robert Levine, Esq. of Floyd, Pearson, Kidman, et al. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hermantown Federal Credit Union # 90-03485 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Richard D. Kolu, Esq., Attorney At Law, Duluth, Minnesota. For Respondent: Steven M. Phillips, Esq. of Popham Hailc Schnobrich & Kaufman, Ltd., Minneapolis, Minnesota. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between TJ.A. Garred Sexton and Willie Steele Browing Bullock, Trustee of Willie Steele Browiiag Bullock Trust Dated 6/19/84 VB. 90-03477 M niuiit pinancial Gene MULL you Poor fT 1ff1 i fli*nt'g t r r ia-< 'niB»r>fr«i For Respondents: Arthur P. ft»i«»v*»i-, Esq., GoAdn, Carlton & Maxwell, Dallas, Tens Statenait of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John B. Menzer and No. 90-03472 of Resondents Michael A. Giordano Anthony L. Havens REPRESENTATION OP PARTIES John B. Menzer appeared pro se. Michael A. Giordano appeared pro se. Anthony L. Havens failed to appear. CASE INFORMATION Statement of Claim filed: on or about December 7, 1990. Claimant '3 Submission Ag

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William A. Schneider Claimant vs. The Ohio Company and Richard Eastburn Respondents Case #90-03469 AHARD CASE SUMMARY William A. Schneider, in a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1990, alleged that misrepresentation and negligence of his former broker at the Ohio Company, Richard Eastburn, cause

N.A.S.D. AWARD NKEKNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of t±e Arbitration Between Name of ^g^g^tte) Bully C. Mezera 90-03468 Mane of Respondent (a) Dreher & Associates, inc. MjrLon For Claimant: Emily C. Mezera. was represented by Peter J. Wifler, Esq. of Salvl, Salvi & Wifler, Lake Zurich, Illinois. Star Respondents: Dreher & Associates, Inc. and HTTtm Greenberg were represented by Nancy L. Plonk, Esq. and Steven B. Varic

N.A.S.D. AWARD NKTICNHi ASSOCIKnCM OF SECURITIES In the Matter of the Arbitration Between Barton G. Prieve and and 90-03466 Prudential-Bache Securities, Inc. n/k/a fccudeotial Securities, Inc. Claimants appeared pro se. Respondent VMS represented by Laurie Giolito, Esq. of Prudential Securities, Inc. New York, New York. Tie Statement of < n^m was filed on or about Deceotoer 7, 1990. Claimants* StfrnriwHcn Agreement signed on December 4, 1390.