Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CVI Group, an unincorporated association consisting, in part, of Ernes Foundation, a Canadian Foundation, SLR Trust, a Canadian Trust, 1274328 Ontario, Inc., a Canadian corporation, and GAE Investments, Ltd., a Canadian limited partnership, (Claimant) vs. Bear Stearns & Co., Inc. and M.H. Meyerson & Co., Inc., (Respondents) vs. Leslie Gerendasi, Joe Lebovics, and Henry Brachfeld (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Willis L. Winstrom, Claimant, v. No. 93-05325 R.G. Dickenson & Co. n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES Willis L. Winstrom ("Claimant") was represented by Bruce Pearson from Fargo, North Dakota. On or about April 10,1995, Claimant changed his representation to Tyler B. Gaines, Esq., of Gaines, Mullen, Pausing & Hogan, Omaha, Nebraska. Respondent Dickenson &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eileen D. Brennan 93-05324 Name of Respondents J. W. Gant & Associates, Inc., J. W. Gant, and Peter Lucina REPRESENTATION OF PARTIES Claimant Eileen D. Brennan ("Brennan") was represented at the hearing by John J. Morrison, Esq. of Chicago, Illinois. Respondent J. W. Gant & Associates, Inc. ("J. W. Gant & Associates") d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of fte Arbitration Between Npme of Claimant Michelle G. Snyder vs. Award No. 93-05322 S.N. Fbelps & Co. Stanford Newton Phelps €> National Association of Securities Dealsis. Inc. AH Rights Reserved REPRESENTATION For Claimant, Michelle G. Snyder ("Claimant"), appeared Michael S. Press, Esq. of Nomnair Raid, P.C. located in.New York, New York. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arlene McElhany 93-05320 Name of Respondents Dean Witter Reynolds Inc. Richard F. Montgomery REPRESENTATION For Claimant: Peter B. Skeei, Esquire and Swensen, Peter & Johnson. For Respondents: Dean Witter Reynolds, Inc. ("DW") and Richard Montgomery ("Montgomery") Jack B. Cobetto, Esquire and Reed, Smith & McClay. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Uri Badalian 93-05030 Name of Respondents Securities Planners, Inc. Daniel Dietrich REPRESENTATION For Claimant Uri Badalian ("Claimant") appeared Allen Kramer, Esq., a sole practitioner located in New York, New York. For Respondent Securities Planners, Inc. ("Securities Planners") appeared M. David Sayid, Esq., of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marc Sharinn 93-05016 Name of Respondent Andrew Garrett Sycoff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6,1993, Claimant Marc Sharinn, who appeared Pro Se, alleged that Respondent Drew Sycoff of Shamrock Partners, Ltd. entered into an oral agreement with him wherein he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Michael O'Callaghan t){ Respondents NASD Arbitration No. 93-05015 Smith Barney Shearson, Inc. Lynda Gilbertson REPRESENTATION For Claimant: Douglas L. Federspiel, Esq., Velikanje, Moore & Shore; Yakima, Washington For Respondents: John P. Bevilacqua, Esq., Smith Barney, Inc.; New York, New York CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Joseph K. Burgess NASD Arbitration No. 93-05011 Name of Respondents) Michael Rawlinson REPRESENTATION For Claimant: In Propria Persona For Respondent: Eugene B. Harper, Esq. CASE INFORMATION Statement of Claim filed: December 1, 1993 Claimant's Submission Agreement signed: January 21, 1994 Statement of Answer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David J. Preacher 93-05010 Chatfield Dean & Co., Inc. Christopher A. Trina CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant David J. Preacher, who appeared Pro Se, alleged that Respondent Chatfield Dean & Co., Inc. and Christopher A. Trina ignored his limited