N.A.S:D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eric Stoer & Anne Wilson Heslop, Trustees on behalf of the Thomas A. Wilson Remainder Trust AWARD vs #93-00283 Name of Resnondents Smith Barney Harris Upham & Co., Inc. J. Frank Joyce, II REPRESENTATION For Claimant Eric Stoer & Anne Wilson Hesiop, Trustees on behalf of the Thomas A. Wilson Remainder Trust ("Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Van Keith Collinsworth 93-00280 Name of Respondent Bull & Bear Securities. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1993, Claimant Van Keith Collinsworth, who appeared Pro Se, alleged that as of September, 1992, he owned 1,000 shares of TMX stock in an account w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diane M. Buckshnis 93-00277 Name of Respondents Jerry Baker Rick Dye CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on January 27, 1993, Claimant Diane M. Buckshnis, who appeared Pro Se, alleged that after her broker left the firm of Bateman, Eichler; a predecessor of Kemper Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant PaineWebber, Inc. 93-00274 0 UV ; : . ;. ;•-.-., REPRESENTATION OF PARTIES Claimant/ PaineWebber/ Inc. ("PaineWebier") was represented at the: hearing by John Hubbard, Esq of the Law Offices of Alan Miller-; ... ^B4rming;ham f .Michigan. ^ . £ , . * ..-.. ...„. -v..-,•,-=, -/-.;...,. -. ••- . ,...,..'-^-.yr-HyJ "Munro") appeared at the hearing

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C1ain|pnt Merrill Lynch, Pierce, Fenner & Smith, Inc. 93-00273 Name of Respondent Jim Bennett CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1993, Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their counsel Robert J. Madden, Esq. of Gibbs & Ratliff, L.L.R, H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Henryk Kaston vs. Case # 93-00272 Name of Respondents Shearson Lehman Brothers, Inc. Frank Tortorici REPRESENTATION For Claimant, Henryk Kaston ("Claimant"), Dan Brecher Esq., from the law firm of Dan Brecher. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Frank Tortorici ("Tortorici"), Harry D. Frisch

FEB-10-1334 14:17 FROM NfiSD-RRB ETRftfION-CHICflGQ T0~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCURTIIES DEALERS In the Matter of the Arbitration Charles V. Dwyer Between 12128584141 P.Q2 n Responde Legg Mason Wood Walker, 93-00270 REPRESENTATION For Claimant; Charles V. D^yer ("Dwyer 11 ) was represented by William S, Shepand, Esq. of Houston, Texas. For Respondent: Legg MasontWood Walter, Inc. ("Legg Mason") was represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Tucker Anthony Incorporated John Hancock Clearing Corp. vs. Case # 93-00262 Name of Respondent Klaus Peter REPRESENTATION For Claimants, Tucker Anthony Incorporated and John Hancock Clearing Corp. ("Claimants"), Patrick J. Howley, Esq., in-house counsel. Respondent, Klaus Peter ("Respondent"), was not represented by counse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Miles Revocable Living Trust, Claimant Vs. Case Number: 01-00923 Merrill Lynch, Pierce, Fenner & Smith, Inc., and Guy B. Knapp, Respondents. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Richard Mjles Revocable Living Trust ("Claimant") was represented by Stuart R. Berkowitz, Esquire, of Platke & Berkowitz, LLP, St. Louis, Missouri.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Donald W. VanJdrk 93-00252 Name of Respondent^ Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant Donald W. VanKirk: Richard Brandt, Esq. of Richard K. Brandt and Associates, Sewickley, Pennsylvania. For Respondent Shearson Lehman Brothers, Inc.: Foster Goldman, Esq. of Klett, Lieber, Rooney and Schorling, Pittsb