NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kemper Securities. Inc. and NASD Case Number 94-00228 Bryon Jorgensen REPRESENTATION OF PARTIES Claimant, Kemper Securities, Inc. was represented by Michael Kraft, Esq. and Diane C. Fischer, Esq. of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, Byron G. Jorgensen was represented by Catherine A. Gnatek, Esq. of Dorsey & Wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Wayne W. and Lillian A. Clark 94-00226 GKN Securities Corporation Robert D. Tucker Lawrence Principato Andrew Gaspano For Claimants, Wayne and Lillian Clark ("the Claries"): Russell L. Forkey, Esq. of Dumar, Curtis, Cross, Laystrom & Perioff, P.A., Miami, PL. For Respondents, GKN Securities Corp. ("GKN") and Andrew Gaspano ("Gasparr

N.A.S.D. AWARD NATTQMAL ASSOCIATION OF SECURITIES DEALERS Tony Wood, Claimant, v. No. 94-00221 Robert Todd Financial Corporation, Al Bordeaux, and Wertheim Schroeder & Co. Respondents REPRESENTATION OF PARTIES Claimant Tony Wood ("Claimant") was represented by Jeffrey Weston Shields, Esq., of Purser & Edwards',-Salt Lake City, Utah. Respondent Robert Todd Financial Corporation {"Robert Todd") was represented by Leslie K. Case, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold D. and Nbnna L. Pease 94-00496 N,ame of Respondents Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1994, Claimants Harold D. and Nonna L. Pease, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. misrepresented certain

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS « In the Matter of the Arbitration Between Name of Claimant Frederick H. Boehm 94-00495 ^ Name of Respondents Charles Schwab & Company, Inc. Michael Knight CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1994, Claimant Frederick H. Boehm, who appeared Pro Se, alleged that Respondent Michael Knight of the Respondent Fir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Gunnar & Company, LLC, (Claimant) vs. John P. Martinos, (Respondent) Case Number: 01-02932 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Gunnar & Company, LLC, hereinafter referred to as "Claimant": Carolyn D. Royer, Chief Compliance Officer, Joseph Gunnar & Company, LLC, New York, NY. Previously represented by: Gregg R. Evangelist, Esq., General

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S.B. Cantor & Co., Inc. 94-00489 Name of Respondent Dean Witter Reynolds Inc. For Claimant: Leon B. Lipkin, Esq. New York, New York. For Respondent: Anna Marie McAvoy, Esq. of Dean Witter Reynolds, Inc., New York, New York. CASE INFORMATION Statement of Claim filed: February 8, 1994. Claimant's Submission Agreement sign

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Salerno 94-00481 Name of Respondents Aetna Life Insurance Company REPRESENTATION For Claimant, Alexander Salerno ("Claimant"), appeared Jeffrey Bernbach, Esq. located in New York, NY. For Respondent, Aetna Life Insurance Co. ("Respondent 11 ), appeared Amy J. Beech, Esq., from Epstein Becker & Green, P.C.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward H. Inge Emily H. Inge 94-00474 NameofResDQndent Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1994, Claimants Edward H. and Emily H. Inge, who appeared Pro Se, alleged that Respondent Smith Barney, Inc. f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. White 94-00470 Name of Respondents Alex. Brown & Sons Incorporated Jonathan Price REPRESENTATION For Claimant James J. White, ("White"): Jan Douglas Atlas, Esq. and Douglas Paul Solomon, Esq. of Atlas, Pearlman, Trap & Borkson, P.A., Ft. Lauderdale, FL. For Respondents Alex. Brown & Sons Inc. ("Alex Brown") and Jon