NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-01088 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. James E. Smith Respondent CASE SUMMARY PaineWebber, Inc. by its counsel Garry J. Stegeland, Weehawken, NJ f in a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1991, alleged that Respondent James E. Smith has failed to pay a debit balance in his custom

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01082 AMAHD In the Matter of the Arbitration Between Mary E. Folkner (Soika) Claimant vs. M. Rimson & Co., Inc. Joseph Swint Resnondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, Claimant Mary. E. Follcner (Soika) , who appeared Pro Se~, alleged that Respondents M. Rimson & Co., Inc. and Joseph Swint were negl

Arbitration N.A.S.D. ANAKD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATICN OF SHJURi'i'JJBS DHHBRS 33 Whitehall Street _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4339 Gooxyu Feliciano 91-01081 Name of James Agfloci.'jitgg / Inc. Gregory Both Jamas Rooney For Claimant: najuju Feliciano i-*yrgMM»ii^5 himself. For Respondents T*y™>q James Associates, Inc. , Gregory Roth and James R

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC In the Matter of the Arbitration Between Jack W. Fuller Claimant vs. CASE #91-01079 AWARD PaineWebber r Inc. Respondent CASE SUMMARY Pro Se Claimant, Jack W. Fuller, in a claim filed with the National Association of Securities Dealers, Inc . on April 5, 1991, alleged that Respondent PaineWebber, Inc. by its broker, Gary Cordrey, recommended an inappropriate and unacceptable inve

N.A.S.D. AWARD NttonaJ AMOCtttton Of SeCUrtflBB OeflfcM* IOC- NATIONAL ASSOCIATION OF SadCUKiTlKS DEALERS NASD RnaneM C«ntar New Vortt N.Y. 10004 In the Matter of the Arbitration Between FAX (21 2) 858-4389 Of 91-01078 Name of Resprmrlpnt Edward N. Hodman Fbr Claimant Catherine Abdelrdtman ("Claimant") : she appeared pro se. Far Respondent Howard N. Hryhmmn ("HocbDan") : be appeared pro se. Statanent of n«< m filed: March 22, 1991. dainan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Eisen and Lev Shvarts, Claimants v. GBS Financial Corp., Gerard P. Gloisten and Donald G. Gloisten, Respondents Case Number: 01-01809 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael Blumenfeld, Esq. Freeman, Freeman & Smiley, LLP Los Angeles, California For Respondents: F. James Feffer, Esq. Sherman Oaks, California

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01076 AWARD In the Matter of the Arbitration Between Jerry G. Walz Claimant. vs. Prudential-Bache Securities, Inc. n/Jc/a Prudential Securities, Inc. and Philip K. Harris Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, Claimant Jerry G. Walz, who appeared Pro Se , alleged that Respondents, Pru

PUBLIC Arbitration y N.A.S.D. AWARD NATICNRL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marsha H. Klein vs. Name of Respondents Descap Securities, Inc. Joseph H* Clinard Daniel Robert Levy Case # 91-01074 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimant, Marsha

WJLS.D. AWARD NATIONAL ASSQdWICN OF In the Matter of the Arbitration Between Name of m Stephen R. Cof fey Name of F Philip Woracfc 91-01069 daiiDBnt Steptan R. Cbffey {"Claimant") Ferlazzo, Esq. of the law firm of O'Connell & Arcoowitz. Respcodeat Philip Horacfc ("Raspoodoit 1 ') was by Salvatore D. by himself. Stataneat of ^«< " filed: April 4, 1591. Claimant's SubtnissicQ Agreen>ent, signed en: Pfiteuaxy 27, 1991. St

NATIONAL ASSOCIATION OF SECURITIES -DEALERS, INC. In the Matter of the Arbitration Between Nathan A. Duncan and Margaret M. Duncan, JTWROS Claimants vs. Waterhouse Securities, Inc. Respondent CASE 191-01068 AWARD CASE SUMMARY Claimants Nathan A. Duncan and Margaret M. Duncan, appearing pro se f in a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, alleged that Respondent Waterhouse Secur