N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimanUs) Bess Carrier 93-04682 Name of Respondents) PaineWebber, Inc. Alan Morris CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10,1993, Claimant Bess Carrier, through her representative, Barry Alper of Securities Arbitration Consultants, Inc. of Boca Raton, FL, alleged that Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02830 Carol A. Hillman, claimant vs. Quick & Reilly, Inc., respondent. ATTORNEYS: For Claimant appeared Joseph K, Wehby, Esq., Ft. Wright, KY. For Respondents appeared Samantha E. Kefford, Esq., In-house Counsel, New York, NY. DATE FILED: May 30, 2001 CASE SUMMARY: Claimant alleged that because of respondent's carelessness and negligence, her individual account was liquidated witho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Steven L. and Eileen A. Hartman 93-04681 Name of Respondents Linsco/Private Ledger Corp. Erwin Marine CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1993, Claimants Steven L. and Eileen A. Hartman, who appeared Pro Se, alleged that Respondents Linsco/Private Ledger Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants G. Glover, D. Glover & Gail Vince TTEES Award # vs. 93-04665 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John Boyne REPRESENTATION For Claimants, George H. Glover, David Golver, et al. ("Claimants"), Marie F. Mercier, Esq. from the law firm of Kotin, Crabtree & Strong, located in Boston, Massachusetts.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carol L. Colpien and Raymond Colpien 93-04658 Name of Respondent Quick and Reilly, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1993, Claimants Raymond & Carol L. Colpien, who appeared Pro Se, alleged that Respondent Quick & Reilly, Inc. failed to follow their inst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Powell 93-04651 Name of Respondents Desert Mountain Securities Bob Quiel Michael Quiel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. (NASD) on November 4, 1993, Claimant Michael Powell ("Powell") alleged that in June of 1993, Respondent Michael Quiel made false promises

15:00 P.2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chia Hao Chen and ling Ye 93-04644 Robert K. Chung CASE SUiyiMJARY In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1993, Claimants Chia Hao Chen & ling Ye, who appeared Pro Se, alleged that a dispute arose when the Respondent Roger K. Chung closed both September 14 and September 15 gold future

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimants) Steve Alderson NASD Arbitration No. 93-04640 Name of Respondent(s> John Cunningham REPRESENTATION For Claimant: In Propria Persona For Respondent: In Propria Persona CASE INFORMATION Statement of Claim filed: November 4, 1993 Claimant's Submission Agreement signed: October 29, 1993 Statement of Answer filed by Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimaptfs) Ann Stager Name of Respondent(s) Hugh Gee and Company, and Hugh Gee NASD Arbitration No. 93-04639 REPRESENTATION For Claimant: In Propria Persona For Respondent: Jerome Berg, Esq. CASE INFORMATION Statement of Claim filed: November 1, 1993 Claimant's Submission Agreement signed: November 1, 1993 Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT.FRS. INC. In the matter of the Arbitration Between Name of Claimants Michael Farley Robyn Farley NASD Arbitration No. 93-04636 Name ojf Respondents Shearson Lehman Mutton, Inc. Steve Nassau REPRESENTATION For Claimants: Michael Huberman, Esq. - Greenbaum & Ferentz Newport Beach, California For Respondents: Stephen Young, Esq. - Keesal Young & Logan Long Beach, California