NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Asif M. Shakur 92-01940 Name of Respondents Bear Stearns & Company Mayfair Securities Marcos Figueirado Jack Maddock REPRESENTATION Claimant Asif M. Shakur ("Claimant") represented himself. For Respondent Bear Stearns & Company ("Bear Stearns"): Daniel S. Taub, Associate Director of Bear Stearns & Co., Inc. R

N.A.S.D. AWARD In the Matter of tte&bftration Between Jeffrey G. Acton vs. Name of Respondents Edward W. Bohm Robert Shaw Pacific Southern Securities 92-01939 PASR SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1992, Claimant Jeffrey G. Acton, who appeared Pro Se. alleged that Respondent Pacific Southern Securities, through it's representative. Respondent Edward W. Bohm. sold his shares

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brennan & Moore Profit Sharing Plan ... 92-01937 Name of Respondents Shearson Lehman Brothers, Inc. Richard L. Bailey REPRESENTATION For Claimant: Thomas E. Webb. Esq. of Robshaw, Randaccio & Fessard. P.C. For Respondent: Lawrence M. Ross, Esq. of Shearson Lehman Brothers, Inc. and Richard L. Bailey, Esq. L-f Hurwitz & Fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. * In the Matter of the Arbitration Between Name of Claimant Grace Z. Ash Revocable Trust --- William J. Ash, Jr. Revocable Trust Russell P. Kramer, Jr. Trustee and 92-01936 Name of Respondents Paine Webber, Inc. Timothy Hager REPRESENTATION OF PARTIES Claimant was represented by William D. Nelson, Esq. of Robinson, Waters, O'Dorisio and Rapson, P.C., Denver, Colorado

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o£ Claimant Levy Markovich 92-01934 Name of Respondents Shearson Lehman Brothers, Inc. Keith Ritz REPRESENTATION For Claimant Levy Markovich ("Claimant") : Glenn Billington, Esq., a sole practitioner. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Keith Ritz ("Ritz"): Daniel P. Mascaro, Esq., of Baker & Hostetler.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard M. Elliot, as Trustee of the _-- Elliot Family Trust 92-01931 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimant: Richani M. Elliot, as Trustee of the Elliot Family Trust, appeared pro se. For Respondent: Prudential Securities Incorporated was represented by Gabriel Loubier, Esq. of Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grace C. Conolly . _ No. 92-01924 Name of Respondents Olde Discount Corp. Mark D. Kendall REPRESENTATION OF PARTIES Claimant appeared pro se. For Respondents: Bruce C. Campbell, Esq., Corporate Attorney, PIde Discount Corp., Detroit Michigan. CASE INFORMATION Statement of Claim filed: June 8, 1992. Claimants' Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDttrauon Between Names of Claimants Raymond W. & Flora L. Johnson —- 92-01922 Names of Respondents Merrill Lynch. Pierce Fenner & Smith Inc Dexter Johnston REPRESENTATION Claimants, Raymond and Flora Johnson were represented by Daniel D. Maynard. Esq. of Johnston, Maynard, Gram & Parker, Phoenix, Arizona. Respondents, Merrill Lynch, Pierce, Fenner & Smith, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerry W. Cousins 92-01917 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 8, 1992, Claimant, Jerry W. Cousins ("Cousins") who appeared pro se alleged that the Respondent, PaineWebber, Inc. ("PaineWebber") is liable to the Claimant for

Award NASD Dispute Resolution In the Matter 01 the Arbitration between: Names of the Claimants Case Number: 01-00913 Taufiqul I. and Owmwatie Chowdhury • Names of the Respondents Hearing Site: Boca Raton, Florida Michael Paul Borrone J.B. Oxford & Company REPRESENTATION OF PARTIES For Taufiqul I. and Owmwatie Chowdhury ("Chowdhury"), hereinafter collectively referred to as "Claimants": Dale Ledbetter, Mastriana & Christiansen, PA, Fort Lauderdal