PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00575 AWARD In the Matter of the Arbitration Between Ronald S. & Debra L. Anderson JT/WROS Claimants vs. PaineWebber, Inc. Christopher Leavy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1992, Claimants Ronald S. & Debra L. Anderson who appeared Pro Se, alleged that in mid 1991 they were advis

NATIONAL ASSOCIATION-OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William R. Cox Claimant vs. Stratton Oakmont, Inc. Respondent CASE #92-00574 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1992, Claimant William R. Cox, through his counsel C. Richard Conant, Esq., Dallas, TX, alleged that Respondent Stratton Oakmont, Inc. through its broker, Howar

N.A.S.D. AWRTO ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between of Claimant (s) Dallas, Vickie *mA fyrrr*Tma Dudschus of Respondent (s) NASD Arbitration No. 92-00573 Button, Randal Lee Shipley For Claimant: Ralph R. Smith, Esq. , Ol^mpia, For Respondent; James P. Donahue, Esq., Miller, Hash, Wiener, Eager and Carl sen, Seattle, Washington Statement of Halm filed: February 18, 1992 Claimant's Submission A

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00572 AWARD In the Matter of the Arbitration Between J. Richard Hockert Claimant vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on February 18, 1992, Claimant J. Richard Hockert, who appeared Pro Se, alleged that Respondent Prudential-Bache Securities, Inc. sent him fraudulent

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David S. Cheslin and 01-01874 Southfield, Michigan McDonald Investments William R. Eastin, and David K. Green REPRESENTATION OF PARTIES David S. Cheslin ("Claimant") was represented by Lawrence E. Elkus, Esq., Lawrence M. Elkus, PLC, Farmington Hills, Michigan, and Stuart Berkowitz, Esq., Platke and Berkowitz, St. Louis, Missouri. McDonald Investments, ("McD

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce Maxwell Dean Case No. 00-00772 Names of Respondents The Equitable Life Assurance Society of the United States Hubert Nail AXA Advisors, LLC REPRESENTATION OF PARTIES For Bruce Maxwell Dean ("Dean"), hereinafter referred to as "Claimant": Andrew Stoltmann, Esq. and Thomas Hargett, Esq, of Maddox Koeller Hargett & Caruso, Chicago, Illino

I Arbitration ^^ National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OP SECURITIES DERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Iji the J&tter of the Arbitration Between T Name of Claimant Ollie L. Brandon 92-00571 Name of Respondent James C. Dunlap For Claimant Ollie L. Brandon {"Claimant 11 ) : Claimant represented herself. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ho Goon Tsang BQL Realty and Management Corp. CASE #92-00570 Name of Respondent Whitehall Securities, Inc. REPRESENTATION For Claimants Ho Goon Tsang and BQL Realty and Management Corjp Steven C. Taub of the law offices of Don Brecker. For Respondent Whitehall Securities, Inc.: Ellen McBride, Esq. of Schreiber and McBr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of ClaiTmnts Frank J. and Dorothy E. Thornton 92-00569 of Merrill Lynch, Pierce, Fenner & 3nith, Inc. Howard A. Swart, Jr. Claimants Frank: J. anri Dorothy E. Thornton ( "Claimants ") were represented by Karl C. Wehr, Esq. Respondents Merrill Lynch, Pierce, Fenner & 3nith, Inc. and Howard A. Swart, Jr. ("Respondents") were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Wayne W. Williams 92-00567 Name of Respondent^ Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, Wayne W. Williams ("Claimant"), Marc E. Antine, Esq., from the law firm of Roster & Antine. For Respondent, Shearson Lehman Hutton ("Shearson"), R. Scott Henderson, Esq. from the law firm of Bingham, Dana & Gould.