N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group. Inc. 93-03269 Name of Respondent Thomas Campo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant Corporate Securities Group, Inc., through their in-house counsel, Gregory Tendrich, Esq., alleged that Respondent Thomas Campo, as the Lic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl J. McCurdy 93-03266 Name of Respondent Smith Barney Harris Upham & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant Cart J. McCurdy, who appeared Pro Se, alleged that he placed an open order, good till cancelled, with Respondent Smith, Barney, Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ma^er of the Arbitration Between Name of Claimant PaineWebber, Incorporated 93-03261 Name of Respondent Daniel P. Chrzanowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1993, Claimant PaineWebber, Incorporated, by and through their in-house counsel Garry J. Stegeland, alleged that on or about March 13, 1990 Claimant hir

N.A.S.D. AWARD 4 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Musheno and Musheno Auto Sales, Inc 93-03252 of Respondents Advest, Inc. William J. Hissner REPRESENTATION For Claimants John Musheno and Musheno Auto Sales, Inc. ("Claimants"): Shawn A. Bozarth, Attorney at Law, Harrisburg, PA and Thomas K. Wynne, Attorney at Law, Lebanon, PA For Respondents Advest, Inc. ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of....Claimant David M. Guskin 93-03250 Name of Respondents Aaron Fischman Jonah Rosenblatt Benjamin Herskovich REPRESENTATION For Claimant David M. Guskin ("Claimant"): appeared pro se For Respondent Aaron Fischman ("Fischman 11 ): Fischman did not appear For Respondent Jonah Rosenblatt ("Rosenblatt"): Rosenblatt did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ANNE M. GARCIA Claimants v. NASD No. 93-3240 JEFFREY DAFT, SHEARSOTI LEHMAN BROTHERS, and SUTRO & CO., INC. Respondents Representation For Claimant: Daniel Garcia, Esq., Sacramento, CA For Respondent Shearson Lehman Brothers (Shearson): Ellen Slipp, Esq. of Shearson New York, N.Y. For Respondents Sutro & Co. and Jeffrey Daft: Brian Zagon, Esq. a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gaines, Berland Inc. 93-03234 Name of Respondents Alexander Bienenstock Sandra Bienenstock Richard G. Sonkin REPRESENTATION For Claimant, Gaines Berland, Inc. ("GB"), Edward H. Pomeranz, Esq. of Graubard, Mollen Horowitz located in New York, New York. For Respondents and Third Party Claimant, Alexander and Sandra Biene

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Norm Weekly and 01-02666 Phoenix, Arizona Name of Respondents Interfirst Capital Corporation Vincent M. Nerone REPRESENTATION OF PARTIES Norm Weekly ("Claimant") was represented by Dennis H. Taylor, Esq., Shepherd, Smith & Bebel, P.C., Houston, Texas. At the time of the filing of their Answer, Respondents Interfirst Capital Corporation ("Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Louis P. Laurent Margarete Laurent 93-03226 Name of Respondent Prudential-Bache Securities Inc. Al Baron Laura Lee Baron r REPRESENTATION For Claimants, Louis P. and Margarete Laurent ("the Laurents"): Det. H. Joks, Esq. of Miami, Florida. For Respondent, Prudential Bache Securities, Inc. ("Prudential") Brian D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Syed Shahid Hussain 93-03225 Name of Respondents Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 17, 1993, Claimant Syed Shahid Hussain, who appeared Pro Se, alleged that he was employed as a broker at Respondent Prudential Securities, Inc. Claim