N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Joanne A. DuPont, Claimant, v. Franklin-Lord, Inc., and Brian Lloyd Gibbons, Respondents and No. 94-00508 Franklin-Lord, Inc. Crossclaimant v. Brian Lloyd Gibbons, Crossrespondent REPRESENTATION OP PARTIES Claimant Joanne A. Dupont ("Claimant") was represented by Frank Lewis, Esq., of Begam, Lewis, Marks, Wolfe & Dasse, Phoenix, Arizona. Respondent Franklin-Lor

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dam Rauscher Incorporated n/k/a RBC Data Rauscher Inc. and 01-02941 Phoenix, Arizona Name of Respondent Terry Joe Vail REPRESENTATION OF PARTIES Dain Rauscher Incorporated n/k/a RBC Dam Rauscher Inc. ("Claimant") was represented by Shelly L. Parnell, Esq., Dorsey & Whitney LLP, Minneapolis, Minnesota. Terry Joe Vail ("Respondent") appeared pro s

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Karen F. Schwartz, Claimant, v. 94-00503 Smith Barney Shearson, Inc., n/k/a Smith Barney, Inc., Respondent. REPRESENTATION OF PARTIES Claimant Karen F. Schwartz ("Claimant") was represented by David P. Getting, Esq., of Curtis, Getting, Heinz, Garrett & Soule, P.C., St. Louis, Missouri. Respondent Smith Barney Shearson, Inc., n/k/a Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS James Wages, and Carol Wages, Claimants, v. No. 94-00499 Smith Barney Harris Upham & Co., n/k/a Smith Barney, Inc. Dennis Melton, and Thomas Jeffrey, Respondents. REPRESENTATION OF PARTIES Claimants James Wages and Carol Wages ("Claimants") were represented by Martin R. Galbut, Esq., of Galbut & Associates, Phoenix, Ari zona. Until March 21, 1995, Respondents Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Oaimant Robert J. Petrlik 94-00309 Prudential Securities, Inc. RFJ^RFffENTATION For Claimant Robert J. Petrlik ("Claimant"): Michael R. Murphy, Attorney at Law, Washington, D.C. For Respondent PrudentiaLSecurities, Inc.. ("Respondent"): Gary Klein, Vice President and Associate General Counsel for Prudential Securities, Inc. , New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS William Harrison Norton, Claimant, v. No. 94-00304 Smith Barney Shearson, Inc. file/a Shearson, Lehman Button, and Rick Stern Respondents. REPRESENTATION OF PARTIES Claimant William Harrison Norton ("Claimant") appeared on his own behalf Respondents Smith Barney Shearson and Rick Stern ("Respondents") were represented by Ann Parry, Esq., of Smith Barney Shearson, New York, New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George C. Levine 94-00302 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant George C. Lsvkte ("Claimant"), through his representative, Steven M. Green, Esq., of San Diego, C A., alleged that Respondent Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Younghaus 94-00301 Names of Respondents J.W. Gant and Associates, Inc. Russell Haraborda Tim Wynne For Claimant, John Younghaus ("Younghaus"): Patrick A. Davis, Esq., Clearwater, Florida. For Respondent, J.W. Gant and Associates, Inc. ("JWG"): pro se. For Respondent, Russell Haraburda ("Haraburda"): pro se. For Respondent, Tim Wynn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') ' St. Louis Discount Securities, Inc. 94-00294 Name of Respondent(s) Jeffrey Brooks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1994, Claimant St Louis Discount Securities, Inc., through its representative, Ronnay L. Jackson , alleged that Respondent Jeffrey Brooks w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUETITES DEALERS In the Matter of the Aihkatioa Between Booita R. Wanous, Sevedn Wanoua & S JL Wanous Fainting, Inc. Profit Sharing Plan & Trust 9440293 New England Securities John*. Water of Partita OTTO Tapiaaanfad at the haaritig hy lEWin t>, 'CTnff^yin, Big, , M>* MIM p ftH «. Minneapolis, Minnesota. were xqmaented at the hearing by Paul R. Smith, Esq. of Austin & Abnnu, The St