N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Inc. NASD Arbitration No. 94-00954 Name of Respondent George F. Hallaran REPRESENTATION For Claimant: Catherine Pratt, Esq., PaineWebber, Inc., Los Angeles, California For Respondent: George F. Hallaran, in pro per CASE INFORMATION Statement of Claim filed: March 11, 1994 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James A. Schacher 94-00946 Name of Respondent Gnintal & Co., Inc. REPRESENTATION For Claimant: Stephen E. Tisman, Esq. of Shiff & Tisman, New York, New York. For Respondent: Donald N. Cohen, Esq. of Gruntal & Co., Inc., New York. New York. CASE INFORMATION Statement of Claim filed: March 10, 1994. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lugene Roehrman, Ethel Zakroff, Susan Cohill, and Jack Greenberg, Claimants, v. No. 94-00944 Prudential Securities Incorporated, Respondent REPRESENTATION OF PARTIES Claimants Lugene Roehrman, Ethel Zakroff, Susan Cohill, and Jack Greenberg ("Claimants") were represented by Ronald N. Hanley, Esq., Scottsdale, Arizona. Susan Cohill did not participate as a party in the hearings

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jin Y. Chung 94-00930 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1994, Claimant Jin Y. Chung, who appeared Pro Se, alleged that Respondent Charles Schwab & Company, Inc. erred in executing a trade for her. Claimant furthe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Sobotta and Thu Sobotta 94-00929 Nam Investex Securities Group, Inc.; Frank J. Somma RRPRRSlCNTATinN For Claimants: James Sobotta and Thu Sobotta ("Sobotta") were represented by David Hammer, Esq., located in Houston, Texas. For Respondents: Investex Securities Group, Inc. ("Investex") and Frank J. Somma ("Somma")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Katherine B. Wheeler, Claimant, v. No. 94-00927 B.C. Christopher Securities Company, MCW, Inc., f/k/a B.C. Christopher Securities Company ,and Fahnestock & Company, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Katherine B. Wheeler ("Claimant") was represented by John J. Miller, Esq. and Barry D. Estell, Esq., of Nygaard & Miller, Overland Park, Kansas. Respondents B.C. Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James 0. Collins & Ann T. Collins 94-00923 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: James O. Collins and Ann T. Collins ("Collins") were represented by James O. Collins of Lubbock, Texas. For Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") was re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Thomas D. and Betty J. Hanson, Individually and as Joint Tenants, Thomas D. Hanson IRA and Betty J. Hanson IRA Case No. 01-02979 Names of Respondents Sterne, Agee & Leach, Inc. Mark Mathisen Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Claimants Thomas D. and Betty J. Hanson, Individually and as Joint Tenants, Thomas D. Hans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David L. Lee 94-00918 Name of Respondents lovestacoip, Inc. CASE SUMMARY la a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1994, Claimant David L. Lee, who appeared Pro Se, alleged that Respondent Investacorp, Inc. terminated his employment for failing to notify Respondent he was engagi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of Claimant^} Julia P. Williams v. of Respondent^) Del Mar Securities Kevin Allen Michael S. Greene Ricci Donald Null NASD Arbitration No. 94-00914 For Claimant: For Respondent Null: REPRESENTATION Richard Sacks, Investors Recovery Service, Novato, California Thomas N. Cano, Esq. Woodland Hills, California