N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Keith M. & Lori B. Nickoloff 92-00415 Name of Respondents Dean Witter Reynolds Inc. Jack S. Gilbert REPRESENTATION For Claimant: Keith M. Nickoloff. For Respondent: Kathleen Kaczor, Esq. of Damon and Morey. CASE INFORMATION Statement of Claim filed: February 4, 1992. Claimant's Submission Agreement signed on: Januar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Generoso Pope, in 92-00413 Name of Respondents Bear Stearns & Company Sloate, Weisman, Murray & Co., Inc. REPRESENTATION Claimant Generoso Pope, HI ("Claimant") was represented by Jeffrey W. Herrmann, Esq. of the law firm of Conn Lifland Pearlman Herman & Knoff. Respondents Bear Stearns & Company, Inc. ("Bear Stearns") and

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Viva J. Martin and James E. Bryant Claimants vs. Garrett L. Farnsworth Jeff Chatfield Respondents CASE #92-00405 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1992, Claimants Viva J. Martin and James Bryant, who appeared Pro Se, alleged that on July 24, 1990 Respondent

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between First City, Texas Claimant Award vs. Kemper Securities Group, Inc., and Selina M. Moriarty Respondents Case #92-00403 Case Summary In a claim filed with the National Association of Securities Dealers, Inc., on February 3,1992, claimant FIRST CITY, TEXAS, by and through Dennis Hansen, Assistant Vice President and Trust Officer, made th

N.A.S.D. AWARD \ NATIONAL ASSOCIATION OF SECURITIES DEALERS \ In the Matter of the Arbitration Between Name of Claimants Edward & Reine Penzer vs. Case #92-00400 Name of Respondents Advest, Inc. Gruntal & Co., Inc William Kravitz REPRESENTATION For Claimants, Edward & Reine Penzer, ("Claimants") Lawrence A. Steckman, Esq., from the i law firm of Camhy Karlinsky & Stein. j For Respondent, Gruntal & Co., Inc. ("Gruntal") and William Kr

J PUBLIC N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mary Elmasry Elmasry Investment Club 92-00399 Name of Respondent^ Advest, Inc. Gruntal & Co., Inc. William Kravitz REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondents Gruntal & Co., Inc. ("Gnintal") and William Kravitz ("Kravitz") in connection with any allegations concer

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. the Matter of the Arbitration Between arles J. Davidson Claimant rris Baker Watts, Inc. Respondent CASE t91-04152 ANARD riation of , a gingle review and i set forth m December of of the resolution SUMMARY In a claim filed with the National Association of Securities ialers, Inc. on December 31, 1991, Claimant Charles J. Davidson, 10 appeared Pro Se, al

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sean Curran, individually, and on behalf of Sean Curran IRA, and Colleen Curran, Claimants Vs. Global Financial Group, Inc., Bryan R. Collins, Jason Vazareusky, a.k.a. Jay Varza, Victor Altaian, and Steven C. Staltare, Respondents. Case Number: 01-00867 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants Sean Curran, indivi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Barry & Beth Schneider 91-04150 Maine of Respondents! PameWebber. Inc. Joseph Bradley REPRESENTATION Claimants, Barry S. Schneider and Beth Schneider ("Claimants"). Stuart Kaufman. Esq. and Arthur Fisch. Esq.. from the law firm of Fisch and Kaufman. For Respondents. PaineWebber. Inc. ("PaineWebber") and Joseph Bradley ("

N.A.S.D. ANAKD NAITCNMi ASSOdKTICN OF SfaXAJRiTlBS DEftLERS In the Matter of the Arbitration Between Mama of Claimant (s) Carlton R* Pickens and Miriam Pickens 91-04149 Mams of Respcndflnt(a) Merrill Lynch, Pierce, Fenner & Sadth, Inc. rJJEL'JUUH For Claimants: Garltcn R. Pickens and Miriam Pickens were represented by Victor J* Gonzalez, Esq., located In Metaire, i>«< «-i«n»- For Respondent: Merrill Lynch, Pierce, Fenner & Smith, Inc. was