NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Bernard E. McFarland Claimant vs. Smith Barney Harris Upham & Co., Inc." Gary S. Lemer Respondents CASE #91-02762 ANABD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Bernard E, McFarland, who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Richard and Marion Graham Case No. 91-02761 Name of Respondent(s) PaineWebber, Inc. John Weckbaugh REPRESENTATION For Claimants: Richard and Marion Graham ("Grahams"): Howard J. Swibel, Esq. and Stanley M. Lipnick, Esq. of Amstein & Lehr. For Respondents, PaineWebber, Inc ("PW") and John Weckbaugh (Weckbaugh"): Steven M.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edrie M. Etherton Trust, James M. Etherton, TTEE Claimant vs. CASE #91-02760 AWARD PaineWebber Inc. Ray Johnson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimant Edrie M. Etherton Trust, James M. Etherton, TTEE who appeared Pro Se, alleged that Respondent Pa

, n N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Janice H. Hadory The Ohio Conpany Cams Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street 91-02750 For Claimant: Janice H. Hbckxcy. For Respondents, Ite Ohio Ccupany and Ttm Cams: James A. Francis, Esq. of Hie Ohio Coqpany. Statement of CTIaiTn filed: Au

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02749 AWARD In the Matter of the Arbitration Between Steven R. Keitel Claimant vs. Olde Discount Corporation Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant Steven R. Keitel, who appeared Pro Se, alleged that Respondent, Olde Discount Corporation placed an unauthorized order to purchas

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ------ ---- P UBLIC In "he Matter of the Arbitration Between Steven R. Keicel :iaimant vs. CASE #91-2747 AWARD Olde Discount Corp. Respondent CASE STMJARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991. Claimant Steven R. Keitsi who appeared pro se, alleged that Respondent Clde Discount Corp. charged him 350.00 for terminatin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02743 AWARD In the Matter of the Arbitration Between Morris E. Vickers Claimant vs. Russell Koch Ted Myer Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant Morris E. Vickers who appeared Pro Se, alleged that on April 18, 1989 Respondent Russell Koch, President of Kochcapital highly recommended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02741 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Cynthia D. Sadler, MD Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant PaineWebber,. Inc. through their in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Cynthia D. Sadler, MD has refused to pay a

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jack Deem and 01-00803 Kansas City, Missouri Name of Respondents Vestax Securities Corporation Paul W. Ewing and Name of Third Party Respondent Robert Keith Hoddick REPRESENTATION OF PARTIES Jack Deem ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J. Miller, P.A., Kansas City, Missouri. Vestax Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Winston E. Cochran 91-02737 Name of Respondents Dominick & Dominick Incorporated James Glenn John Moysey REPRESENTATION Claimant Winston E. Cochran ("Claimant") represented himself. Respondents Dominick & Dominick. Inc.. James Glenn aruf John Moysey (collectively referred to as "Respondents") were represented by William