r 1 1 • F" NATIONAL ASSOCIATION OF SECURITIES {DEALERS, INC. i In the Matter of the Arbitration Between ) j - . EUGENE A. DEPPERSCHMIDT d/b/a KENTENTEX ) / ENERGY GROUP ) / Claimant(s) ) and ) ) CASE NO. 87-02536 STEVE JOHNSON; ARTHUR J. PORCARI; ) MICHAEL FEARNOW; AND, PORCARI-FEARNOW & ) ASSOCIATES, INC. ) Respondent(s) ) CASE SUMMARY In a Statement of Claim filed with the NASD on December 9, 1987, Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julie C. Snoddy vs. PaineWebber, Inc. and William Reynolds Claimant ) ) ) ) Respondents ) ) Case 187-02488 #87-02375 (CONSOLIDATED) Award On April 12 and 13, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Julie C. Snoddy, on November 20

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^••••••^••••••^•^•••••••••••••••••••••• —^^a,^0,^^^^^,,^,^^^^.^..^. ^.-»i — ^.^^^.^^ In the Matter of the Arbitration Between ) Julie C. Snoddy Claimant ) ) Case #87-02488 ) #87-02375 ) (CONSOLIDATED) vs. ) Award PaineWebber, Inc. and Respondents ) William Reynolds ) On April 12 and 13, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissi

4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence C. Wile 93-03844 Name of Respondents Alan Siemens CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23, 1993, Claimant Lawrence C. Wile, who appeared Pro Se, alleged that Respondent Alan Siemens failed to execute his sell order of 2000 shares of Clothestime

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Ted and Alyce Stroud No. 93-03843 v. Name pf Respondents Shcar^oii Lelunau Brothers, inc. Kim Williams REPRESENTATION For Claimants: David Skellenger, Esq. - Skellenger, Bender. Mathias & Bender, P. S.. Seattle. Washington For Respondents: Neil A. Sussman. Esq. - Smith Barney, Inc., New York. New Yor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hector Perez Perez 93-03830 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 24,1993, Claimant Hector Perez Perez, who appeared Pro Se, alleged that Respondent PaineWebber, Inc. did not properly advise him concerning an investment he had ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dan J. & Patricia A. Yancey 93-03829 Name of Respondent 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 September 24,1993, Claimants, Dan J and Patricia A Yancey, who appeared Pro Se, alleged that respondent Shearson Lehman Br

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Nape of Claimant Tibor Ginter NASD Arbitration No. 93-03825 pi Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Jeffrey G. Heimstaedt REPRESENTATION For Claimants: In Pro Se For Respondents: Trenton J. Hill, Esq. - Jones, Bell, Simpson & Abbott - Los Angeles Ca. CASE INFORMATION Statement of Claim filed: September 23,199

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02746 Cantone Research,Inc., claimant vs. Joseph Anthony Sanchez, respondent. ATTORNEYS: For Claimant: Mark D. Powers, Esq., New York, NY Respondent did not respond to Statement of Claim DATE FILED: May 24, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay a $25,000 front end bonus that he received as a forgivable loan which was to be repaid if his employment was termi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants) William S. Giles Barbara M. Giles NASD Arbitration v. No. 93-03818 Name of Respondent^) First Affiliated Securities G.R. Stuart & Company, Inc. Henry R. Fisher REPRESENTATION For Claimants: Mark I. Schickman, Esq., Fox & Grove, San Francisco, California For Respondent First Affiliated Securities: Jonatha