N.A.S.D. AWARD NMTCNMi ASSOCIATION OF SBCDRTTXES DEALERS In the Matter of the Arbitration Between NanneofClaiJiiantJs) Leonard Rosenberg and Hprmn Rose, as Co-Trustees of TWR. Salefl Corp. Pension Plan and Trust Defined Benefit Pension Plan, TWR Sales Corp. Defined Contribution Pension Plan, TWR Sales Corp. Profit Sharing Trust, IWin Rose Produce Corporation Defined Benefit Pension Plan, Twin Rose Produce Defined Contribution Pension Pla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant , . Patricia Boozell 91-01839 Name of Respondent """ '**' Pacific Brokerage Services Inc. Claimant Patricia Boozell appeared Respondent Pacific Brokerage Services, Inc. did not appear at the hearing. The Statement of Claim was filed on or about June 11, 1991. Claimant's Submission Agreement signed on June 27, 1991. Statemen

H.A.S.D. J9MD NATICNAL ASSOdATICN OF SECQRITSS DEAISS In the Matter of the Arbitration Jay Kopf George Levied, 91-01747 consolidated W/91-O1B25 Mama of Otra Securities Group lac. First Fideltiy Capital Corporation Ted Rubin Claimants Jay Itapf and George Levien ("Claimants") were represented by Jacob Zamansfcy, Esq. of Hincfcley & Silbert, P.C. Respondent Otra Securities Group, Inc. ("Otra") was represented by Scott Monaon, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00768 Robert F. Salak Revocable Living Trust, claimant vs. Salomon Smith Barney Inc. and Bernard E. Packard, respondents. ATTORNEYS: Claimant appeared Pro Se, through its Trustee, Robert F. Salak, Michigan City, IN. For Respondents appeared Ann Parry, Esq., in-house counsel, New York, NY. DATE FILED: February 15, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Loretta Brown Claimant vs . CASE #91-01818 AWARD PaineWebber, Inc. Don Rauscher, Jr. Respondents CASE SUMMARY Claimant Loretta Brown, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1991, alleged that Respondents PaineWebber, Inc. and Don Rauscher, Jr. executed an unauthorized purchase of 1,000

N.A.S.D. AWARD NATIdttL ASSCdXTI.CK OF SBOTOTISS In the Matter of the Arbitration Between Of FredW. Alber 91-01817 Prudential-Bacbe Securities Inc. n/k/a Prudential Securities Incorporated Bob Brow Robert For Claimant: Fred W. Alber vas represented by lawreoce R. Gelber, Esq. of Beigel & Sandier, Ltd., New York, New York. For Respondents: Prudential-Bacha Securities, Inc., n/k/a Prudsntial Securities Tnootyoiated, Robert Budgins and

PVJBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01815 AWARD In the Matter of the Arbitration Between Marshall Waller Claimant vs. Wedbush Morgan Securities, Inc. The Chicago Corporation Respondents vs. Alan Shorr Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1991, Claimant Marshall Waller, through his personal representative, Alan L. Sho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John & Judy Mae Nate 91-00947 V Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Dennis Gabel, Esq. Jack Brusewitz REPRESENTATION For Claimants John & Judy Mae Nate ("Claimants"}: John F. Magyar of Magyar & Swisher. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS"} and Dennis Gabel

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Patrick-^!— Morrissey -—- GASH: va. Jack Quinn Bill Doyle Respondents SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1991, Claimant Patrick J. Morrissey who appeared Pro Se, alleged that Respondent Bill Doyle made recommendations for him to hold his Chemix Pharmaceutical stock saying the value wou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Georgetown Asset Management Frederick J. Kaufman, Jr. Respondents CASK #91-00943 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1991, Claimant Dean Witter Reynolds f Inc. through its outside counsel Dominick J. Dorata, Esq., New York, NY,