N.A.S.D. AWARD NftUCNAL ASSOCIATION OF SBCTRITTES DEALERS In the Matter of the Arbitration Between Name of Claimant Blain H. Marchand 91-02674 Of P*fcgpnnf!ian^ Brothers, Inc, Kgtyjg-.MNfi-n-i-.mT Claimant Blain H. Marcbaud ("Claimant") was represented by Howard B. D'Amico of the law firm of Kirkpatrick & Associates. Respondent Shearson T^atanan Brothers, Inc. ("Respondent**) was represented by Christopher T. Litterio of the law firm Sha

Arbrt ration N.A.S.D. AWARD National Association of _ - Securities Dealers. Inc. NATIONAL ASSOCIATION OF SBLTJklTUSS DEALERS NASD Financial Center _ 33 Whitehall Street In the Matter of the Arbitration Between Mams of Claimant Ralph J. Pollack 91-02671 Citicorp Financial Services Rindy O'Connor For Claimant Ralph J. Pollack ("Claimant") : Michael C. Simon, a sole practitioner. For Respondents Citicorp Financial Services ("Citicorp")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02670 AWARD In the Matter of the Arbitration Between Donald R. Schoene Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant Donald R. Schoene who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. recommended the purchase of a Bond fund named High

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. and 01-00797 Dallas, Texas Name of Respondents Southwest Securities, Inc. and SWS Financial Services, Inc. ("Claimants") were represented by Corbet F. Bryant, Esquire, Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Gaylon Nelson Cox ("Respondent") did not appear. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Bermont Fanners ) ) Case No. 91-02669 Name of Respondent si ) ) Gilford Securities Incorporated ) H. Robert Holmes ) Gilbrooke Associates, Inc. ) Lennox Securities, Inc. ) REPRESENTATION For Claimant, Bermont Partners ("Bermont"): Curtis Carlson, Esq. of Carlson Bales & Schwed, P.A. For Respon

PUBLIC NATIONAL ASSOCIATION 0? SKt'URlTISS DEALERS, INC, in the Matter of the Arbitration Between Billy J. fitter Claimant Vfl . Michael c. Jordan Richard w. Respondents #91-02230 AWARD la a claim fil.d with ss-»? ^ Richard W. Sauman uC Uw Lfrm uf - *„ noo 8 1/2 , without auchorization, a «470 ,000 8 i/^ -. O Coupon ciid co him. TB. Clainanc Jurtn.r C. Jordan. . . R M pondenta Michael C. Jo

K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DERIVES In the Matter of the Arbitration Between Name of ci^™^*- Ruth Van Slyke vs. NASD #91-02223 Dean Witter Reynolds, Inc. St.Tphpn Langs Fred Martin For Claimants Archibald M* Mull, IH t Esq. , Sacramento, California Foo: Respondents: Jay M. Cutler, Esq., Dean Witter Reynolds, Inc., San Francisco, California GRSB Sfcatanent of Ha-im filed: July 13, 1991 Claimant's Subm

PUBLIC Arbitration N.A.s.D. AWAKiS National Association of Securities Dealers, Inc. NATICtfflL ASSOCIATION OP SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212) 858-4389 Name of Claimant Jack Kamzan 91-02222 Name of Respondents H.D. Brous & Co. Newbridge Securities, Inc. Hoard Brous For Claimant: Setli Lipner, Esq

PUBLIC ~ N.A.S.D. AMAED NKTICNRL ASSOCXXnCN OF SBCCRITIES DEAIERS In the Matter of the Arbitration Between. Of Agnes Tarino of R Esponc Prudential Securities Inc E. Arbitration National Association of Securities Deafer*. Inc* NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 358-4389 91-02220 For Lifland Agnes Torino ("Claimant"): Mary Ami Stokes, Esq. of Oolm and FOr RespCDd

Arbitration ~ W.A.5.JJ. AHAKU NATIONAL ASSOdATICII OF SBCDRITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Helen R. Mandel Name of Respondent (a) Equioo Securities, Inc. Equitable Life Assurance Society Martin Cohen National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 91-02214 For Claimant, Helen R. Mandel ("