N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lionel A. Dorsay, Claimant, v. No. 93-03342 William Hecht, Kent Casey, and R.G. Dickenson & Co., n/k/a Dickenson & Co. Respondent REPRESENTATION OF PARTIES L. Eric Dowell, Esq., of Burns, Shields & Partners, P.C., Phoenix, Arizona, represented Lionel A. Dorsay ("Claimant"). Sid Spaeth, Esq, of Faegre & Benson, Minneapolis, Minnesota represented William Hecht, Kent Casey, a

NASD AWARD Claimants Laurette Wood Case Number 93-03339 Respondents Alex Brown & Son, Inc. and Robert David Perrin REFRJESENTATION Claimant, Laurette Wood ("Wood") was represented by Jane Sirak, Esq. of the law office of Jane Sirak, Esq., West Palm Beach, Florida. Respondent, Alex, Brown & Sons, Inc. ("Alex Brown") was represented by Daniel J. Donovan, Esq. of Alex Brown, Baltimore, Maryland. • . i . Respondent, Rober

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Michael LeVine Filet Products, Inc. Filet Menu, Inc. NASD Arbitration No. 93-03328 Name of Respondent(s) Kayne, Anderson & Co., Inc. David DeWind REPRESENTATION For Claimants: Paul M. Krueger, Esq., Barry And Krueger, Beverly Hills, California For Respondents: Stephen Young, Esq. and Jill E. Olofson, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brett A. Singer 93-03324 Name of Respondent Chatfield Dean & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1993, the Claimant Brett A. Singer, who appeared Pro Se, alleged that the Respondent Chatfield Dean & Co., refused to refund money for courses, examination and li

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Micara 93-03320 Name of Respondents Sun/merica Securities, Inc. Gioia del Campo Streetfield Agency, Inc. REPRESENTATION For claimant Frank Micara ("claimant") appeared Richard B. Cohen, Esq. of the law firm Akabas & Cohen, located in New York, New York. For respondent SunAmerica Securities, Inc. ("SunAmerica") app

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Soraya Khamsi and Marcus M. Sharei, Claimants v. Charles Schwab & Co., Inc. Respondents Number- 01-02676 Hearing Site: San Francisco, California RFPRFSFNTATTON OF PARTTFS For Claimant Soraya Khamsi: Soraya Khamsi LiPropria Persona Emeryville, California For Claimant Marcus M. Sharei: Marcus M. Sharei In Propria Persona Emeryville, California For Respondent: Mau

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AI.F.RS. INC. In the matter of the Arbitration Between Name of Claimant Robert M. Gromis, M. D., P. C. Name of Respondent Fidelity Investments NASD Arbitration No. 93-03315 REPR ESENTATIQN For Claimant:Bette Gromis, Esq. - Los Angeles, Ca. For Respondent:In Pro Se CASE INFORMATION Statement of Claim filed:August 24, 1993 Claimant's Submission Agreement signed: May 27, 1993

NASD Arbitration No. 93-03382 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant: (s) Barbara Spriggs Name of Respondent(s) Shearson Lehman Hutton Inc. Richard Russo REPRESENTATION For Claimant: Barbara Spriggs, Alt a Loma, California For Respondents: Paul M. Foster, Esq., Smith Barney, Inc., Sherman Oaks, California CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS rH Victor H. Goulding 93-03380 Name of Respondents Gruntal & Co . , Inc . and Marcial Chiong REPRESENTATION OF PARTIES For Claimant at the hearing: Randall S. Goulding, Esq., Chicago, Illinois. For Respondent, Gruntal & Co., Inc. at the hearing: Eric S. Hunter, Esq. of Gruntal & Co., New York, New York. For Respondent, Marcial Chiong, not present at the hearing: Pro Se. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants The City of San Marino The City of Lawndale The City of Palmdaie The Community Redevelopment Agency of the City of Palmdaie NASD Arbitration No. 93-03374 Name of Respondents E.F. Hutton & Co., Inc. Shearson Lehman Brothers, Inc. Richard Alan Lavery Frederick W. Parodi Name of Third Party Claimant