N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome F. Perrone, Jr. 94-01916 Name of Respondents Steve Morgan Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1994, Claimant Jerome F. Perrone, Jr., who appeared Pro Se, alleged that Respondent Steve Morgan solicited his business through a "cold

N A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS fn the Matter of the Arbitration Between Name of Claimant John M. Hipkins 94-01914 Name of Respondents Victor Whang Donald Cox CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20,1994, Claimant John M. Hipkins ("Claimant"), who appeared Pro Se, alleged that Respondents Victor Whang ("Whang"), and Donald Cox ("Cox"), as representatives

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants LeEtta Engblom 94-01913 Name of Respondents Eric Equities, Inc. DeanBurchett CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on May 19,-1994, Claimant LeEtta Engblom, who appeared Pro Se, alleged that Respondent Dean Burchett ("Burthen") made positive, stable sounding statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Anthony LoBianco #94-01908 Joseph Mancuso vs. Name of Respondents Smith Barney, Inc. Reich 8c Co., Inc. Fahnestock 8t Co. Kenneth Bolton REPRESENTATION For Claimants: Joseph F. Kyle, Esq., Kyle and Kyle, Las Vegas, Nevada For Respondents Reich & Co., Inc., Fahnestock & Co., and Kenneth Bo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William A. Lake 94-01903 Name of Respondent^ Smith Barney Shearson, Inc. Gregory A. Thompson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1994, Claimant William A. Late, through his representative, Robert M. Roth, of R.M. Roth and Associates, Appleton, WI, alleged tha

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant F. Sears Harris and 94-01901 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION OF PARTIES ^•SBBdliBBBBSHatt0AE9BaHHSHSMB^BE^MABiBBdfenflBai| **• - - -- — - - - f^_ F. Sears Harris ("Claimant") was represented by Michael A. Meyer, Esq., Sidwell & Barrett, P.C., Franklin, TN. Smith Barney Shearson, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carolyn Casado, individually and on behalf of the Carolyn Casado Individual Retirement Account and the Carolyn Casado Roth Individual Retirement Account, Claimant v. Stock Doctor Investment Management a/k/a StockDr.com and Lee Siler, Respondents Case Number: 01-03074 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Carolyn Casado, individually and on behalf of t

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Wanda Jo Gardner and 94-01900 Name of Respondent Cullom & Sandow Securities, Inc. Thomas Timothy Cullom Richard Wells Richard L. Sandow REPRESENTATION OF PARTIES. Wanda Jo Gardner ("Claimant") was represented by Jonathan Pace, Esq., Pace & Rickey, Dallas, Texas. Cullom & Sandow Securities, Inc. ("Respondent Cullom

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Iflame of Claimant Dennis Cooper Award No. vs. 94-01895 Name of Respondents Dean Witter Reynolds Inc. Raymond Lewis REPRESENTATION For Claimant, Denise Cooper, ("Claimant") Stephen G. Thomas, Esq., from the law firm of Thomas & Boles, located in Chagrin Falls, Ohio. For Respondent, Dean Witter Reynolds, Inc., ("DWR"), Paul D. Allen, Esq

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Prabhakar Kamath, individually and as Custodian for Rahul Kamath. as Custodian for Haresh Kamath, as Trustee for the Prabhakar Kamath M.D. Profit Sharing Plan, and Geetha Kamath, individually, Claimants, and No. 94-01894 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Shariq Mansuri, Respondents. REPRESENTATION OF PARTIES Prabhak