N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ny»a of Claimants Gordon F. Hildebrand and Marie B. Hildebrand 93-03924 A.G. Edwards & Sons, Inc. and Craig S. Morgan REPRESENTATION OP PARTIES Claimants Gordon F. Hildebrand and Marie B. Hildebrand ("Claimants") were represented at the hearing Pro Sg. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Craig S. Morgan ("Morgan"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy W. Bayley Revocable Trust and 01-02780 Phoenix, Arizona Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION OF PARTIES Dorothy W. Bayley Revocable Trust ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. Merrill Lynch Pierce Fenner & Smith Inc. ("Respondent") was repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') Janet J. Phillips 93-03923 Name of Respondentf s) Dean Witter Reynolds Inc. Wayne Maddux, Jr. REPRESENTATION For Claimant Janet J. Phillips: Mark F. Huard, Esq. of the law firm of Sadler and Associates, Inc., Atlanta, GA. For Respondents Dean Witter Reynolds, Inc. and Wayne Maddux, Jr.: George D. Sullivan, Esq. in-h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Gedaliah Zlatowitz 93-03919 Name of Respondent (s) PaineWebber, Inc. David Steadly REPRESENTATION For Claimant Rabbi Gedaliali ZIotowitz ('claimant") appeared Anthony 3. Horn, Esq., Philadelphia, PA. For Respondent PaineWebber, Inc. ("PaineWebber") and David Steadly ("Steadly") appeared Joseph Generelli, Esq. of Paine

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley E. Vernovage 93-03914 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimant Stanley E. Vemovage, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. sold the Claimant 16 units of Prudentia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lillian Schneider 93-03907 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Lillian Schneider ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yang-Ho Kim and In-Ho Kim 93-03895 Name of Respondents JosephthaJ, Lyon & Ross Inc. Frantz Lys Cajuste CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1993, Claimants Yang-Ho Kim and In-Ho Kim, who appeared Pro Se, alleged that Respondent Frantz Lys Cajuste ("Cajuste"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Zion 93-03872 Name of Respondents Rauscher, Pierce Refsnes, Inc. Hanover Sterling & Co., Ltd. Darren Shasho CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Bruce Zion, through his counsel Howard S. Eilen, Esq., of Lehman & Eilen, Uniondale, N.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy J. Baldwin 93-03866 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1993, Claimant Dorothy J. Baldwin ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, loc

NAS.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Webb, Madeline B. Calkins-Webb. and Gary W. Sierk 93-03860 Johnston, Lemon & Co., Inc., Legg Mason Wood Walker, Inc., Moors ft Cabot, Inc., and Thomas J. Fox Oaittants William 1 Webb ("Webb"), Madeline B. Calkins-Webb ("Calkins-Webb-). and Gary W. Sierk ("Sierk") were represented at the hearing by Janet K. DeCosti Esq. of Washi