N.A.S.D. AWARD '^ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Katherine Grayson 92-00456 Name of Respondent Sperber Adams & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on February 6, 1992, Claimant {Catherine Grayson, who appeared Pro Se. alleged that Respondent Sperber Adams & Company. Inc. failed to follow her instructions to

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00455 AHARD In the Matter of the Arbitration Between Margaret T. Reinhart Claimant vs. Dean Witter Reynolds, Inc. Michael Hogan Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1992, Margaret T. Reinhart, who appeared Pro Se, alleged that Respondent, Dean witter Reynolds, Inc. through it's broker

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael & Mary Sheeny 92-00454 Name of Respondents Zoch & Zoch Associates Inc. Zoch & Zoch Financial Group Inc. Donald B. Zoch Paul B. Zoch REPRESENTATION For Claimants Michael and Mary Sheeny: Joel Bernstein, Esq. of Kantor Bernstein & Kantor. For Respondents Zoch & Zoch Associates. Inc., Zoch and Zoch Financial G

s N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Linda Karaszewski of Dean Witter Reynolds Inc. Frederick Ricken Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX {212) 858-4389 92-00450 For Claimant: Jeffrey A. Sellers, Esq. of Silverberg, Yood, Sellers & McGorry. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin Rutlege Flynn Case No. Name -of Respondent J.W. Gant and Associates, Inc. REPRESENTATION For Claimant: Martin Rutlege Flynn ("Flynn' 1 ): pro §e_. For Respondent, J.W. Gant & Associates, Inc., ("J.W. Gant 11 ): Vincent A. O'Brien, Esq. (Subsequent to the second hearing session, Mr. O'Brien notified the NA

Arbitration N.A.S.D. FINAL CKDR. NKTICNAL ASSOCIATION OF SBCDRITIES EEKUBS National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 la the fetter of the Arbitration Between Of rr| Ralph W. Boebma Daniel Sverdlln Gregory Rizzo Traina Cheater JaEmes Padgett Stuart Warren Graff 92-00441 For dadmnts: Frank J. Evangelist, Esq. of Qnnsten & Evange

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfaOJRiTlES DEALERS In the totter of the Arbitration Betwesi of Joe R. & Margaret H. Dobson 92-00438 Name of Respcmdpnts Choice Investments Inc. Donald Itzen For Claimant: Joe R. Dcbson ^TV! Margaret H. Dcfoson were represented by Terrenes Kendall, Esq. of Kendall, Randle, Finch & Osborn, located in Austin, Texas. For Respondents: Choice Investments Inc. was represented by James G. Kaighln of Ch

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mid-South Engineering Company Employees Profit Sharing Plan by and Through its Trustee Case No. 01-00874 Don Donathan Name of Respondent Stephens, Inc. Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Mid-South Engineering Company Employees Profit Sharing Plan by and Through its Trustee Don Donathan, hereinafter referred to as "Cl

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Matt & Frances Moreili 92-00437 Name of Respondents Frank Bauer Nevada Financial Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1992, Claimants Matt & Frances Moreili who appeared Pro Se, alleged that in October 1985, in the presence of their accou

N.A.S.D. AWARD ASSOCIATION OF SMCITRITISS DEALERS In the Ifettsr of the Arbitration Between Of Silvestros D. Silvestros 92-00436 Name of Ira M. Zadikow South Riclmond Securities Inc. For Claimant: Daniel F. Webb, Esq., Chicago, Illinois. For Respondent South Rictanond Securities, Inc.: Clrino M. Bruno, Esq. of Gusrae, Kaplan & Bruno, New York, New York. Respondent Ira M. Zaditow appear Statement of rn«^ filed: October 25, 1991. C