/ ~~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ma** of *e Arbitration Between of Claimants Ralph and Tammie Vermillo Case No. 92-01914 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Norman D. Schuermann REPRESENTATION For Claimants, Ralph and Tammie Vermillo ("the Vermillo' s tf ): Andrew Balog, Esq. of Merkle and Magri, P. A. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Me

N.A.S.D. AWARD ; . ,;^ ^;;^ ,. , l/?; - ,^j • . ~* x —•»^,.,_ i '-• i_V f er NATIONAL ASSOCIATION OF SECURITIES DEALERS ,.., "'/ ^281993 '< !• In the Matter of the Arbitration Between *--•-.-.. Name of Claimants ' "*'-"-""v*. E. Terry and Candy Banbury #92-01909 Name of Respondent Hayne, Miller, & Farni, Inc. REPRESENTATION OF PARTIES For Claimants at the hearing: Pro Se. For Respondents at the hearing: Gre

N.A.S.D. CORRECTED AWARD ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of G. William Filley as Executor of the Will of ? h eg* - y R. McGrath NASD Arbitration No, 92-01901 Name of Respondent Smith. Barney, Harris U£ham & Co., Inc. For Claimant: Reed H. Bement, Esq., San Francisco, California. For Respondent: William L. Riley, Esq., and Gregory C. Tenboff, Esq., Qrrick, Harrington & Sut

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harold & Ann Stein as Trustees for the Harold and Ann Stein Revocable Living Trust Case No. 92-01891 Name of Respondent(s) PaineWebber, Inc. Samuel Litt Hank Martin Philip Lubetkin REPRESENTATION Claimants, Harold and Ann Stein, as Trustees for the Harold and Ann Stein Revocable Living Trust ("the Steins"): P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant* si Philip H. Puder, Trustee Philip H. Puder Revocable Trust vs. 92-01SS: Name of Respondent* s) Smith Barney Harris Upham & Co.. lac. Charies R. Carvana CASE SUMMARY [n a claim tiled with the National Association of" Securities Dealers. Inc. on June 04, 1992. Claimant Philip H. Puder who appeared pro se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome Dipentino 92-01878 Name of Respondents Dominick & Dominick Incorporated Jack Mergner. Jr. Robert Hladek REPRESENTATION Claimant Jerome Dipentino ("Claimant") was represented by: Lawrence Gelber, Esq. of the law firm of Beigei and Sandier. Respondents Dominick & Dominick, Inc. ("Dominick") and Robert Hladek ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosemary L. Price 92-01877 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Bruno Mario Di Giorgi REPRESENTATION For Claimant Rosemary L. Price ("Claimant"); Charles E. Dunlap, Esq., a sole practitioner. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Bruno Mario Di Giorgi ("Di Giorgi")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gerald Gordon 92-01873 Name of Respondent s Gruntal& Co., Inc. Gideon Evans REPRESENTATION For Claimant: Gerald Gordon appearing pro se. For Respondents: Eric S. Hutner, Esq. of Gruntal & Co., Inc. CASE INFORMATION Statement of Claim filed: June 3, 1992 Claimant's Submission Agreement signed on: May 27, 1992 Rep

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Spaulding, Claimant v. Prudential Equity Group, Inc. f.k.a. Prudential Securities Inc. and Gene Soss, Respondents Case Number: 01-00912 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert A. Graham, Jr., Esq. Law Offices of Robert A. Graham, Jr. Grants Pass, Or

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01865 AWARD In the Matter of the Arbitration Between William A. Horn Claimant vs. First Potomac Investment Services, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1992, Claimant Wallace A. Horn, who appeared Pro Se, alleged that Respondent First Potomac Investment Services, Inc. allowed him to buy $20,000.00