N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. in the Maner of the Arbitration Between Name of Claimant Anne Arnold and ^~ Name of Respondents Oppenheimer & Co., Inc. Van Kampen Merritt, Inc. and Bruce McGaugh 92-01612 REPRESENTATION OF PARTIES Claimant appeared pro se. Respondent Oppenheimer & Co., inc. was represented by John T. McGuire, Esq. of Oppenheimer & Co., Inc., New York, New York. Respondent Va

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon S. Trenholm Case # vs. 92-01611 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, Leon S. Trenholm ("Claimant"), Ralph A. Dyer, Esq. For Respondent, Shearson Lehman Brothers, Inc. ("Respondent"), Richeile Kennedy, Esq. from the law of firm Bingham, Dana & Gould. CASE INFORMATION Sta

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Hayner vs. 92-01607 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1992, Claimant Robert Hayner, who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. miscalculated his sale of 12,000 shares of Tos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 1-n the Matter of the Arbitration Between Name of Claimant Wheat, First Securities, Inc. 92-01605 Name of Respondent Kin W. Chens For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION John Ivan, Esq. in house attorney at Wheat First Securities. Randy M. Kornfeid, Esq. of Randy M. Kornfeld, P.C. CASE INFORMATION May M. 1992. Claimant's Submissio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alston Roberts and Niroopa Roberts, (Claimants) vs. Morgan Stanley Dean Witter and Michael DeRosa, (Respondents) Case Number: 01-01882 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Alston Roberts ("A. Roberts") and Niroopa Roberts ("N. Roberts"), hereinafter collectively referred to as "Claimants": Adolph D. Seltzer, Esq., a sole practitioner, New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant John D. Dowdall 3S ,0 and 92-01011 Name of Respondents Shearson Lehman Brothers, Inc., Mark J. Stephenson and Lawrence Roberts REPRESENTATION OF PARTIES John D. Dowdali ("Claimant") was represented by Fred T. Bennett, Esq. of Stillman & Bennett. P.C., Dallas. Texas. Shearson Lehman Brothers, Inc., Mark J. Step

N.A.S.D. AWARD NATIONAL ASSOdATICN OF SECURITIES DEAZ£RS In the Matter of the Arbitration Between Name of Melvin Greenstein 92-00597 Name of Respondents Jeffrey Brooks and Jeffrey Brooks Securities, Inc. Claimant appeared pro se. Respondent was represented by Lee Bialostok, Esq. of the Lee Bialostok Law Offices. Statement of f*i«-i™ filed on: February 18, 1992. Claimant's Submission Agreement signed on: February 12, 1992. Joint State

N.A.S.D. AWARD In the Matter of the Arbitration Between of Claimant Christopher J. Catalano 92-00590 Christopher J. Looney REPRBSKffi'ATlON For Claimant Christopher J. Catalano: Claimant appeared Pro Se. For Respondent Christopher J. Looney: Reaponent appeared Pro Se. THPQgMftTION Statement of Claim filed: February 18, 1992. Claimant's Submission Agreement signed on: February 14, 1992. Statement of Answer filed by Respondent, Christopher

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Susan L. Fitzsiinnons, Individually/ as Trustee for the Fitzsimnons Family Trust and as Adninistratrix of the Estate of Joseph T. Fitzsinnons, Jr. vs. PaineWebber, me. William Litby Case # 92-00582 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y.

N.A.S.D. AWARD NfcTICNAL ASSOCtSTICN OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Derrick A. Stoutamire 92-00577 Name of Raspr |nrl< 3in t5 Shearson T^frmri Brothers, IDC. Neil Kirk For Claimant Derrick A. Stoutamire ("Claimant") : Amy R- Goldson, Attorney at Law For Respondent Sbearson Lehman Brothers, Inc. ("Shearson") and Neil Kirk ("Kirk") : Charles R. Kills and ™*v** M. Gardner of the law fi