\\% I \ v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Darlene Livingston 93-00770 Name of Respondent Shearson Lehman Brothers, Inc. For Claimant DMlene,Livi^ Paul X. Shoemaker, Esq.laftfefealamm firm of Greenfield Stein & Senior, LI-P located in New York, New York. urm ^ (jreey For Respondent Sheatsbri Lehman ^:Brot|lers r Inci} ("Respondent") appeared Pete S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Thomas Heller as trustee for the Thomas Heller Trust, Paul Heller and Ruth Heller 93-00764 Name of Respondent(s) Smith Barney Harris Upham & Co., Inc. James H. Mahoney, Jr. For Claimant Thomas Heller as trustee for the Thomas Heller Trust ("Trust"), Paul Heller and Ruth Heller ("Hellers"): Randall W. Henley, Esq. of Henley. &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between of Claimant Margaret M. O'Neill-Jones Personal Representative of the Estate of Austin J. O'Brien and 93-00754 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Thomas Klucartis. Ross Fox and Kyle Rice REPRESENTATION OF PARTIES Margaret M. O'Neill-Jones Personal Representative of the Estate of Austin J. O'Brien ("Claimant"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber Incorporated No. 93-00753 Name of Respondent Nazmi Hassanieh REPRESENTATION OF PARTIES For Claimant: Edward P. Degenhardt, Esq., Litigation Counsel, PaineWebber Incorporated, Weehawken, New Jersey. Respondent Nazmi Hassanieh failed to appear at the hearing. CASE INFORMATION Statement of Claim filed: March l, 1993. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deborah Davison 93-00748 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 1, 1993. Claimant Deborah Davison who appeared Pro Se, alleged that she purchased 1500 Rts. Mexico Fd Inc. Indefinite after being advised by Respondent Olde Disco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Claimant Carolyn B. Gilbert 93-00736 nf Respondents Craig-Hallum, Inc., Hayne, Miller & Farni, Inc., f/k/a L'Argent Securities, Inc., and William David Milkes REPRESENTATION OF PARTIES For Claimant at the hearing: Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, P.A., Minneapolis, Minnesota. For Respondent, Craig-Hallum, Inc. t at the hearing: Vincent Louwagie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Louis L. and H. Joyce Kirkpatrick and 93-00734 Name of Respondents Hanover Sterling Company, Ltd. and Steve Ropas REPRESENTATION OF PARTIES Louis L. and H, Joyce Kirkpatrick ("Claimants") were represented by Paul G. Bursiek, Esq. of Pendleton & Sabian, P.C., Denver, Colorado. Hanover Sterling Company, Ltd. ("Hanover"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00939 Joseph B. Immordino, claimant vs. Investex Securities Group, Inc. and Alfred N. Schrott, respondents. ATTORNEYS: For Claimant appeared Steven J. Katz of BLS Legal Services Corp., Brooklyn, NY. For Respondents appeared Alfred Schrott, co-Chairman of Investex Securities Group, Inc., New York, NY. DATE FILED: February 26, 2001 CASE SUMMARY: Claimant alleged that respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James H. Allen and Alice Allen James H. Allen, IRA 93-00733 Name of Respondents Professional Planning Capital Corp. Professional Planning Associates, Inc. Jeremy A. Klainer Jane Boeder! Taves REPRESENTATION For Claimants James and Alice Allen ("Claimants") appeared James S. Grossman, Esq. of the law firm of Smallwo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Pearl Glauser 93-00726 Name of Respondents Prudential Securities, Inc. Thomas Turnbaugh CASE SUMMARY ;: '. j: fe'J" " la a claim filed with the National Association of Securities Dealers, lac. on February 26, 1993, Claimant Peari Gfanaer, who appeared Pro Se, alleged that Respondent Thomas Tutotaosh, through die Respond