N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alan R. Mitchell 93-00163 Name of Respondent First Chicago Investment Services. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 15, 1993, Claimant Alan R. Mitchell, who appeared Pro Se, alleged that Respondent First Chicago Investment Services, Inc. made an unsuitable reco

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant 93-00162 Catherine S. Mitchell Name of Respondent First Chicago Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 15, 1993, Claimant Catherine Mitchell, who appeared Pro Se, alleged that Respondent First Chicago Investment Sendees, Inc. recomm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Fannie Victor and 93-00160 Name of Respondent Prudential Securities, Inc. f/k/a Prudentiai-Bache Securities, Inc. REPRESENTATION OF PARTIES Fannie Victor ("Claimant") was represented by Stuart C. Goldberg, Esq., Austin, Texas Rosemary J. Shockman, Esq. and John N. McKeegan, Esq. of Shockman & McKeegan, Scottsdale, Ari

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITTFS DEALERS In the Matter of the Arbitration Between Name of Claimant Harriet A. Feiner 92-01978 Name of Respondents Prudential Securities Inc Stephen J. Hall REPRESENTATION For Claimant: Barry Smith, Esq., a sole practitioner. For Respondent: David L. Becker, Esq. of Prudential Securities, Inc. CASE INFORMATION Statement of Claim filed: June 12, 1992. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant La Vern Dale Dixon 92-01974 Names of Respondents Dean Witter Reynolds, Inc., Mike Torrence, Jeffrey Shumaker, Rick Cisar, Chris Hasney and Bert Simmon REPRESENTATION Claimant was represented by Shaun T. Gloude, Esq. and William Wedum, Esq. of Littleton, Colorado. Respondents were represented by Joseph E. Mais, Esq.

N.A.S.D. AWARD > /£V,-.j r^ i^^-3U\&;~ NATIONAL ASSOCIATION OF SECURITIES DEALERS ~ ^ : In the Matter of the Arbitration Between Name of Claimant Michael Dillard ^ 92-01973 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant at the hearing: Clell Cunningham, Esq. of Miller, Dollarnide, Dawson & Shaw, Oklahoma City, Oklahoma. For Respondent at the hearing: David L Restaino, Esq. of Dean Witter Reynolds, Inc., San

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert & Kathryn Wiicox Claimants CASE #92-01965 AWARD vs. Raymond James & Associates Robert R. Gates Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 12, 1992, Claimants Robert & Kathryn Wiicox who appeared Pro Se, alleged that Respondents Raymond James & Assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Russell Petro Case # 92-01958 Name of Respondents Yankee Financial Group, Inc. Arthur Rottenstein REPRESENTATION For Claimant, Wolf Haldenstein Adler, Esq. of Freeman & Herz. For Respondents, Thomas J. McCabe, Esq., a sole practitioner. CASE INFORMATION Statement of Claim was filed on June 11, 1992. Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marcella Schmidt No. 92-01953 Name of Respondent Lee Sackman REPRESENTATION OF PARTIES For Claimant: Robert J. Long, Esq., of Lynch, Lumber & Wysocki, Antioch, Illinois. . For Respondent: A. Brad Busscher, Esq., Vice President and Senior Attorney, Kemper Securities, Inc. CASE INFORMATION Statement of Claim filed: June 1

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edith S. Hartley vs. 92-01947 Name of Respondents PaineWebber, Inc. Larry G. Tate CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1992 Claimant Edith S. Hartley, who appeared Pro Se, alleged that in January 1987 after reviewing a summary of her account statement