ltflY-25-199-4 10:31 FROM NftSD-fiRBITRRTION-CNICfiBO TO 12128584141 P. 02 N.A.SJX AWARD NATIONAL ASSOCIATION OF S^OJIUTIBS DEALERS, INC. In the Matter of the Arbitration Between " Name John H. Smith and { 92-02949 Naine Smith Barney, Harris Upham & Co., Inc. William G. Sdlens OF PARTIES John H. Snah ("Chumaot") was represented by Clifford t> Beem, Esq., Denver, Colorado. Smith Barney, Harris Upham & Co., Inc. and William G. SeHeas (

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia Crane 92-02948 Name of Respondents ~ Shearson Lehman Brothers. Inc. Bernice Freeland CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1992, Claimant Virginia Crane, who appeared Pro Se, alleged that Respondents Shearson Lehman Brothers, Inc. and Bern

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTEES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas H. Kaye and Shirley R. Kaye 92-02942 Name of Respondent Dean Witter Reynolds Inc. For Claimants, Thomas H. Kaye and Shirley R. Kaye: Thomas H. Kaye. For Respondent, Dean Witter Reynolds, Inc.: Ellen Fong of Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim filed: August 13, 1992. Claimant's Submissi

JftN--l?-1995 10:54 FROM NPSD-fiREITFJflTrrM-OIIQ'WO TO 12133584141 P. N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS V, In the Matter of the Artritration Between Milton F. Bain 92-02937 Piist of Michigan Coiporation; David A, Bntdteton For Claimant MOtoo F. Bain ("Bain") appeared pro se. For Respondent: Ffi& of Michigan Corpo^^ ("Pendteton") were represented by Thomas R. Cox, Esq. of Mffler, Quifield, Paddock and Stone, P.L.C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen M. Ellin 92-02936 Name of Respondent Oppenheimer & Co., Inc. REPRESENTATION For Claimant: Stephen M. Ellin appeared pro-se. For Respondent, Oppenheimer & Co., Inc.: Michelle A. Murphy, Esq. of Oppenheimer & Co., Inc. CASE INFORMATION Statement of Claim filed: August 31, 1992. Claimant's Submission Agreement

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman Jr. , Norman & Mozelle Johannesen 92-02928 Name of Respondents Prudential Securities Inc Donald Skinner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1, 1992, Claimants Norman & Mozelle Johannesen and Norman Johannesen, Jr. who appeared Pro Se, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDitrauon Between Name of Claimant Jan Gryglak 4^ No. 92-02926 Name of Respondents Royce Investment Group, Inc. Ameritrade SeanO'Hara REPRESENTATION OF PARTIES Claimant Jan Gryglak appeared pro se. For Respondents: Jeffrey J. Scott, Esq. of Krys, Boyle, Golz, Reich & Freedman, Denver. Colorado. CASE INFORMATION Statement of Claim filed: August 31,

Award NASD, Inc. Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc. Claimant vs. Bradley R. James Respondent Pass Number- 01-02442 Hearing Site: Richmond. VA REPRESENTATION OF PARTTFS Claimant First Union Securities, Inc. ("Claimant") was represented by John E. MacDonald, Esq. of the law firm of Stark & Stark, Lawrenceville, NJ. Bradley R. James ("Respondent") was represented by Perry A. Pirsch, Esq. of the

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ The Pershing Division of Donaldson Lufkin & Jenrette Securities Corp. 92-02924 Name of Respondents) Mark P. Brie ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 1. 1992 Claimant The Pershing Division of Donald Lufkin & Jenrette Securities Corp. by and th

N.A.S.D. AWARD i NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimants C. Edward and Betty Blair 92-02919 Name of Respondents Merrill Lynch Pierce Fenoer < k Smith Inc John P. McLoughlin For ftatmMM c. Edward and Betty Blair ("Blair'): Allan J. Fedjor, Eaq* of Fedor A Fedor and Tack Windt, Esq. FOr Respondents, MerriE Lynch Pierce Fenner & Smith Inc. ("MLPFS") and John P. McLougnfin ("M