N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph F. Carlow. M.D. - Trustee tor the Joseph F. Carlow. M.D.. P.C. - Defined Benefit Pension Plan and The Joseph F. Carlow. M.D.. P.C. Target Benefit Plan 91-04114 Name nf Respondents Ronald W. Laessig Laessie Investment Company REPRESENTATION For Claimant Joseph F. Carlow, M.D. - Trustee for the Joseph F. Carlow. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Myers 91-04112 Name of Respondents - - **- American Trading & Investment, Inc., Jeffrey Myers and Ron Wigington REPRESENTATION For Claimant: Gretchen Z. Kennedy, Esq. of Day Hewett & Federman, Oklahoma City, Oklahoma. For Respondents American Trading & Investment, Inc. and Ron Wigington: A. Daniel Woska, Eaq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimant Joseph Neirnan Case # vs. 91-04111 Name of Respondents Prudential Securities Inc Jay Tittlebaum REPRESENTATION Claimant, Joseph Neiman ("Claimant") was not represented by counsel. For Respondents, Prudential Securities, Inc. ("Prudential") and Jay Tittlebaum ("Tittlebaum"), Anthony Paduano, Esq., from the law firm of Sm

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04104 AWARD In the Matter of the Arbitration Between Dan Smargon Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 30, 1991, Claimant, Dan Smargon, who appeared Pro Se, alleged that in April 1987, Respondent, Shearson Lehman Brothers, Inc. by and through their Fi

N.A.S.D. AWARD ASSOdATICN OF SECURITIES HFaTJRBfl tha Matter cf tha Aifcitratian Between Q£ Willa Sorenson 91-04099 p£ HuttCQ, IBC* and Thonas Sullivan Claimant, Willa Sorensoa, was represmted by Gail E. Bolivar, Eaq. of tha Bolivar low Fixm, Mushalltobo, Iowa and John P. Bienoan, IH r Esq. of Biexman & Biecnnan, P.C.« Grinnell, Iowa., Hutton, Inc» and T*""? Sullivan, rapresaated by Victor A. M^iy-incn J Esq. of Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants Michael Perry Rachel Perry - — Elizabeth Gustafson - **- 91-04095 Names of Respondents First American Biltmore Securities, Inc. Randall Evans Gordon Nevers Members Service Corporation REPRESENTATION Claimants, Michael Perry, Rachel Perry and Elizabeth Gusiafson were represented by Paul J. Roshka, Jr., Es

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04093 AWARD In the Matter of the Arbitration Between Andre Burton Claimant vs. Chatfield Dean & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 27, 1991, Claimant, Andre Burton; who appeared Pro Se, alleged that Respondent, Chatfield Dean & Co. overcharged him for his purchase of 1,000 shares of Gree

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard Safford and 01-00863 Southfield, Michigan State Street Securities, Inc. n/k/a Taylor Stuart Financial, Inc., and Michael Anthony Lodispoto REPRESENTATION OF PARTIES Richard Safford ("Claimant") was represented Joel H. Kaufman, Esq., Farmington Hills, Michigan. State Street Securities, Inc. n/k/a Taylor Stuart Financial, Inc. ("TSF") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Jane Brush ) ) ) Case No. 91-04085 ) Name of Respondent(s) ) ) Dean Witter Reynolds, Inc. ) Augustus G. DeLong, Jr. ) REPRESENTATION For Claimant, Jane Brash ("Brush"): Patricia A. Shub, Esq. of Patricia A. Shub, P.A. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Augustus G. De Long, Jr.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -he Arbitration Between George Nishio Claimant CASE #91-04084 AWARD vs. Shearson Lehman Brothers, Inc. Raymond M. Rennie Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24, 1991, Claimant George Nishio who appeared Pro Se, alleged that Respondents Shearson Lehman Brothers, Inc. and Raymond M