N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. 92-02917 Name of Respondents Ross Freitas Carolyn Safer Kenner George J. O'Leary F/S Investment Partnership Name of Third Party Respondent * David Pracker RflJPfl DENTATION For Claimant, Raymond James & Associates, Inc. ("Raymond James") and Third Party Respondent, David Prac

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or' the Arbitration Between Name of Claimant Cheryl H. Runzo 92-02916 Name of Respondents PaineWebber. Inc. Joe Kennedy, in CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 31. 1992, Claimant Cheryl H. Runzo. who appeared Pro Se. alleged that Respondent Joe Kennedy, EQ under the supervision of Respondent Pai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James B. Korndorffer 92-02913 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch Life Agency, Inc. REPRESENTATION For Claimant: James B. Korndorffer ("Korndorffer") was represented by Joe Sam Owen, Esq. and Joe C. Gewin, Esq. of Owen, Galloway & Clark, in Gulfport, Mississippi. For Respondent: Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert & Elizabeth Kozub 92-02911 Name of Respondents Butcher & Singer, Inc. Maxine Aronson Freilich REPRESENTATION For Claimants Robert & Elizabeth Kozub ("Claimants"): Earle R. Frost, Esq., of Frost & Danchak. For Respondents Butcher & Singer, Inc. ("Butcher") and Maxine Aronson Freilich ("Freilich"): Paula D. Shaffn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nme of Edward M. Swiggard Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling and In the Matter of the Arbitration Between Name of Claimant Janet H. Doehlert 92-03161 Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling REPRESENTATION Claimants Edward M. Swiggard ("Swiggard") and Janet H.

92-0296 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward M. Swiggard Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling and In the Matter of the Arbitration Between Name of Claimant Janet H. Doehlert Name of Respondents Shearson Lehman Brothers, Inc. George Schwelling 92-03161 REPRESENTATION Claimants Edward M. Swiggard ("S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shirley Amato 92-02909 Name of Respondents McDonald and Company Securities Richard Mapcs For Claimant Shirley Amato ("Claimant"): she represented herself. For Respondents McDonald and Company Securities ("McDonald") and Richard Mapes ("Mapes"): Brian M. Eisenberg, of Calfee, Halter et al. CASE INFORMATION Statement of C

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Riad E. Abou-Morad and Florence Abou-Morad and 01-02441 Southfield, Michigan Kirkpatrick, Pettis, Smith, Polian, Inc., Gregory D. Adams, Todd J. Dirks, and Lana T. Shuff REPRESENTATION OF PARTIES Riad E. Abou-Morad and Florence Abou-Morad ("Claimants") were represented by Joseph H. Spiegel, Esq., Ann Arbor, Michigan. Kirkpatrick, Pettis, Smith, Polian, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Robert Schaeter 92-02903 Name of Respondents) Craig DeLoach Anthony S. Casacci REPRESENTATION For Claimant Robert Schaefer: Walter D'UU, Esq. Respondents appeared pro se. CASE INFORMATION Statement of Claim filed: August 27, 1992. Claimant's Submission Agreement signed on: July 31, 1992. Statement of Answer f

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Soossan Salmassi 92-02901 AWARD Name of Respondents) South Richmond Securities, Inc. Robert Rivoli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1992, Claimant Soossan Salmassi who appeared Pro Se, alleged that she was persuaded by Respondent Robert R