NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02733 AWARD In the Matter of the Arbitration Between Dominick A. Conte Claimant vs. » G,K. Scott Sc Co., Inc. and Allerton Towne Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on September 3, 1991 f Claimant Dominick A. Conte who appeared Pro Se, alleged that Respondents G.K. Scott & Co., Inc. and their Regi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howard E. & Helen Evans Case # vs. 91-02731 Name of Respondents Shearson Lehman Brothers. Inc. Gary H. Cohen Christopher J. Bonnar REPRESENTATION Claimants. Howard E. & Helen M. Evans ("Claimants") were not represented by counsel. For Respondents, Shearson Lehman Brothers. Inc. ("Shearson") and Gary H. Cohen {"Cohen"),

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02730 AWARD In the Matter of the Arbitration Between Howard D. and Elsie L. Schmidt Claimants vs. Yaeger Securities, Inc. David Goldring Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimants, Howard D. and Elsie L. Schmidt by and through their counsel, Thomas W. Donohue, Esq. of Titus

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02729 AWARD In the Matter of the Arbitration Between Charles V. Kiesewetter Claimant vs. Gilford Securities, Inc. Angelo Armenta Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant, Charles V. Kiesewetter, who appeared Pro Se, alleged that Respondent, Angelo Armenta, under the supervi

:iATIC:»L ASSOCIATION C? SSC-TO==S r3ALSSS. -^C. in cr-e Macner cf zie Arbitration Between Ronald 3. TJzoarpson VS. PaineWetoer, lac. Kenneth Hess Respondenta ANKKD STM4AHY ui, ILUd :< «nn. »••• scia :c and s asae nvlnwl ta. :li« "4 nc. - •"« . Ken tcc . d lr.vtitina« f ais r.oldiugs. nc counsei Scocr saechick. 3 accordance wit* cha Claiaanc • 3 i bad diocussed iavescin.nc ac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Anita Galvin 91-02727 Name of Respondent s) Pnidential-Bache Securities Inc. REPRESENTATION For Claimant, Anita Galvin ("Galvin"): pro se. For Respondent. Prudential-Bache Securities Inc. ("Prudential"): Nancy Basri, Esq. of Prudential. CASE INFORMATION Statement of Claim filed on October 24, 1991. Claimant's Submissio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02720 AWARD In the Matter of the Arbitration Between William & Elizabeth Rich Claimants vs. Madison Chapin Associates, Inc. OTRA Clearing Inc. William Kellman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimants, William & Elizabeth Rich, who appeared Pro Se, alleged that in July, 1991 Responden

N.A.S.D. AWARD Assodancw OF SHTDRITIES DEALERS In the Matter of the Arbitration Between of John Ramljak vs. 91-02718 Mams of Bear Steams & Go, Inc. Steven Antebi For Claimant: Ann A. Andersen, Esq., Woodland Hills, California For Respondents: Stephen Young, Esq. aTlf * Michele R. Fron, Esq., Keesal, Young & Logan, lung Beach, California Statement of Haim filed: August 30, 1991 •Claimant's Submission Agreement signed on: Augus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hendrik S. Bakkar Claimant vs . Dean Witter Reynolds, Inc. Sean Ali Respondents CASE #91-02717 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1991, Claimant Hendrik S. Bakkar, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and Sean Ali failed to follow

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. and 01-00802 Dallas, Texas Name of Respondent Anthony J. Dominiec REPRESENTATION OF PARTIES Southwest Securities, Inc. and SWS Financial Services, Inc. ("Claimants") were represented by Corbet F. Bryant, Esq., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Anthony J. Domi