N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of c Theodore S. Duncan, IRA 94-01016 Name of Respondents Dean Witter and Gerald Weiner Representation of Parties Claimant, Theodore S. Duncan ("Claimant") was represented at the hearing Pro Se. Respondents, Dean Witter and Gerald Weiner (collectively, "Respondents") were represented at the hearing by David P. Restaino, Esq. of Dean

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Steve M. Molloy 94-01013 Name of Respondents Quick & Reilly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1994, Claimant Steve M. Molloy, who appeared Pro Se, alleged that he purchased 900 shares of Cabot Medical Corp. stock from Respondent Quick & Reilly on June 14, 1993,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter, of the Arbitration Between Name of Claimant Nina Berger and 94-01008 Name of Respondent Paul K. Johnson REPRESENTATION OF PARTIES Nina Berger ("Claimant") was represented by Richard L. Bufkin, Esq., Dallas, Texas. Paul K. Johnson ("Respondent") was represented by George W. Fazakerly, Esq., Vial, Hamilton, Koch & Knox, Dallas, Texas. CASE INFORMATION The Statem

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald C. Letch, Jr. and 94-00995~ The Principal/Eppler, Guerin & Turner, Inc. REPRESENTATION OF PARTIES Claimant, Gerald C. Letch, Jr. was represented by Edward S. Hubbard, Esq. of McFall, Sherwood & Sheeny located in Houston, Texas. Respondent, The Principal/Eppler, Guerin & Turner, Inc. (n/k/a Principal Financial Services, Inc.) was repres

NASD Arbitration No. 94-00833 N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between * Name of Claimant (a) Susan E. Barnes Name of Respondent(a) Suppes Securities, Inc. Mark Anthony REPRESENTATION For Claimant: Daniel J. Coplan, Esq., Los Angeles, California For Respondents: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California CASE INFORMATION Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant, Vs. First Union Securities, Inc., Respondent, and Robert W. Berry and Diane L. Spencer, Respondents/Counterclaimants/Third-Party Claimants, Vs. John J. Inhouse, III, Third-Party Respondent. Case Number: 01-02983 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES David F. McComb, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tushar Vashi 94-00993 Name of Respondents) ETrade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1994, Claimant Tushar Vashi, who append Pro Se, alleged that Respondent E* Trade Securities, Inc. bought without his knowledge 20 OEXMG options, and that when he attempted to complai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In tne Matter or the Arbitration Between Name of Claimant Barbara Morris 94-00992 Name of Respondent Legend Capital Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 16. 1994. Claimant Barbara Morris, through her representative Richard C. Hubbard. POA. alleged that Respondent Legend Capital Corporation, through its repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimante William W. and Joyce E. Novak 94-00990 Name of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Floyd Irvin Barnett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1995, Claimants William W. and Joyce E. Novak ("Claimants"), who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Interstate/Johnson Lane 94-00989 Name of Respondent Jack Lane Yarboro For Claimant: Pamela P. Warnement, Esq., of Interstate/Johnson Lane Corporation, Charlotte, North Carolina. For Respondent: Respondent Jack Lane Yarboro did not appear at the hearing. CASE INFORMATION Statement of Claim filed: March 3, 1994. Amended S