AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert D. Rubin, Trustee of the Robert D. Rubin Trust and Parking Systems, Inc. and 01-00809 Kansas Gity, Missouri Stifel, Nicolaus & Co., Inc. U.S. Bancorp Piper Jafrray, Inc. Joseph J. Weinrich, Sr. REPRESENTATION OF PARTIES Robert D. Rubin, Trustee of the Robert D. Rubin Trust and Parking Systems, Inc. ("Claimants"), at the time of the f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : PUBLIC Richard and Barbara Kozek Claimants va. CASK #91-03278 AWARD Ronald J. Bultman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimants, Richard and Barbara Kozek, who appeared Pro Se, alleged that in September 1988 Respondent Ronald J. Bultman, a registered repres

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03277 AWARD In the Matter of the Arbitration Between James Ko Claimant vs . Joe Kahn Advest , Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimant, James Ko who appeared Pro Se, alleged that Respondents Advest, Inc. and Joe Kahn sold his 3 calls of Dell Computer Corporation on July 9, 199

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ; / Daniel Pinkie / Claimant ; vs. ; / Shearson Lehman Brothers, Inc., ; Robert Miller ; i Respondents ; CASE# 91-03276 AWARD rag E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimant Daniel Pinkie who appeared pro se, alleged that Respondents Shearson Lehman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Phyllis M. Day, et al. 91-03274 Name of Respondent^ Merrill Lynch Pierce Fenner & Smith Inc Karen S. Smelker REPRESENTATION For Claimant Phyllis M. Day, D'Arcy Genereaux and Phyllis Shannon: Joseph Spiegal, Esq. of the law offices of Joseph Spiegal. For Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.: V. James M

PUBLIC N.A.S.D. ANARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Anne Dunlop vs. Bro tnors • Richard Verxochi Joel Raskin Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case ft 91-03273 Claimant Anne Duolcp {"Dunlop") pro se. Fear Respondents c Thrinra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03272 AWARD In the Matter of the Arbitration Between Robert D. Stanwood Claimant vs. Lincoln Investment Planning, Inc. Edward S. Frost, Sr. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1991, Claimant, Robert D. Stanwood, who appeared Pro Se, alleged that on May 16, 1991 Respondent Lincoln Investment Plan

Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECORmES DERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Mane of Dean Witter Reynolds Inc. 91-03270 Name of Respondent Mark Perrone For Claimant: Erica Bunin, Esq. of Dean Witter Reynolds, Inc. For Respondent; Barry R. Smith, Esq. of the law firm o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03269 AWARD In the Matter of the Arbitration Between Wyn L. Lydecker Claimant vs. Midkiff Capital Group, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1991, Claimant, Wyn L. Lydecker, by and through John C. Lydecker, Power of Attorney, alleged that he instructed Respondent Midkiff Capital Group, Inc. to p

Arbitration ® National Association of e • Securities Dealers, Inc. N.A.3.D. AWARD NASD Financial Center 33 Whitehall Street NBTICNAL ASSOCIATION OF SBCDRTPIES DEALERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Raymond E. Dropik 91-03266 Name of Respondents Charles Schwab & Company, Inc. For Claimant: Louis Rabil, Esq. For Respondent; Dean G. Carlson, Esq. of the law firm of Charles Sct