NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant CASE #91-01352 vs ' : AWARD • • Brad Ferlane Respondent ,• / CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1991, Claimant PaineWebber, Inc. through its in-house counsel Garry J. Stegeland, Esq., alleged that Respondent Brad Ferlane failed to satisfy margin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward DiNardo Claimant vs. AWARD Paragon Capital Corporation Tony Pinsonault Respondents CASE f91-01351 CASE SUMMARY Edward DiNardo by his attorney George F. Surgent, Mahwah, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1991, alleged that Respondent Tony Pinsonault, his account representative a

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Of Stacy A. Scbnitz vs. 91-01349 Name of Raspgnrlpnt(s) "^^^^^ For Claimant; Steven P. Scbmitz, 2631 Nbrite Place. Qxnard, CA 93030 For Respondent: N6 appearance Statement of nalTn filed: April 30, 1391 Claimant's Sufcnisslcn Agreement signer! on: April 23, 1391 Respondent did act file an answer. Respondent did not file a submission ag

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants) Edward De Groff & Elizabeth M. De Groff Case No. 91-01346 Name of Respondent(s) Dean Witter Reynolds, Inc. Doug Campbell Elton Stevens (Dismissed-removed) REPRESENTATION For Claimants, Edward De Groff and Elizabeth M. De Groff ("De Groffs"): William Doyle, Esq. of Fort Lauderdale, Florida. For Respondent, Dean Witter Reynolds ("DWR"): and Douglas Campbell ("Ca

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Daniel Thelen 91-01343 Name of Respondent David Alexa For Claimant David Alexa ("Claimant"): Thomas M. Hitch, of MCGinty, Brown et al. For Respondent Daniel Tnelen ("Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stanley Peskin, Beth Peskin, Alan Schultz, Edith Schultz, and the Milton Schultz Trust, (Claimants) vs. Marc A. Cantelmo and J. Donald Kinsella, (Respondents) Case Number: 01-01830 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Stanley Peskin ("S. Peskin"), Beth Peskin ("B. Peskin"), Alan Schultz ("A. Schultz"), Edith Schultz ("E. Schultz"), and the Milton Sch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stanley Grant Hughes, Jr. Claimant vs. Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. and Sigrid Pate Respondents Case #91-01341 AWARD CASE SUMMARY Pro Se Claimant, Stanley Grant Hughes, Jr. in a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1991, alleged that Respondent Sigrid Pate, a re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of James D. Tufts, II 91-01340 Name of Respondent (3) Shearson Tirtrrm Button, Inc., now~ '**" known as Shearson Lebnan Brothers, Hoc* Jack Roy Walter Durchbalter For Claimant: James D. Tufts, II was represented by Charles A. Snyder, Esq. and Mark P. Dauer, Esq. of Milling, Benson, Woodward, Hillyer, Pierson located in New Orleans

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF In the Matter of the Arbitration Between. of Claimants David J. anij Lynn A. Schaefer Name of Respondents Shearson Lehman Brothers, Inc. Mark D. Cook 91-01335 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants David J. and Lynn A. Schaefer ("Claimants 11 ) : Walter V. Hia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Name of Claimants Thomas and Patricia Shoop and 91-01334 Name of Respondents Prudential Securities, Inc. f/k/a Prudential-Bache Securities, Inc., John Buda, William Lasko, and David Gorobetz REPRESENTATION OF PARTIES Claimants were represented by Patric J. LeHouillier, Esq. of LeHouillier & Associates, Colorado Springs, Colorado.