Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Scott M. Butler Case No. 01-00763 Name of Respondent Paine Webber, Inc. REPRESENTATION OF PARTIES For Scott M. Butler ("Butler"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of Sadler & Hovdesven, P.C., Atlanta, Georgia. For PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Respondent": Michael D. Lee, Esq. of Schuyle

N.A.S.D. AWARD ASSOCIATICN OF SECURITIES DEAIERS In the Matter of the Arbitration Between Name of ClaiTiHnt(a) Willard Ducote Barbara Ducote 91-00893 First Investors Corporation Kevin Keleher For Claimant : Willard Ducote and Barbara Ducote appeared pro se. for Respondent? First Investors Corporation and Kevin Keleher were represented by Glenn R. Reichardt of Kirkpatrick & Locfcnart, Washington, D.C. CftSB Statement of Claim filed: M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-00888 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Daniel Paine Respondent CASE SUMMARY PaineWebber, Inc. by its counsel Edward G, Warner, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, alleged that Respondent, Daniel Paine/- had failed to satisfy a., debit .balance in his customer,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-00887 ANAKD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Robert E. Foy Sheila M. Foy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, Claimant, PaineWebber, Inc. by anc through their in-house counsel, Edward G. Werner, Esq., alleged that in October 1987 Respondent, R

N.A.S.D. AWftHD NATICNAL ASSOCEKTICN OF SBCDRITTES DEALERS In the Matter of the Arbitration Between Name of Speyer anri Pauline Speyer -•. -**> 91-00882 of P^gpon^'^t (s) Dean Witter Reynolds, Inc. William Stem, Jr. For Claimants: landon Speyer and Pauline Speyer were represented by Gerald S. Siegmyer, Esq. of Richie & Greenberg, P.C., Houston, Texas. For Respondents: Dean Witter Reynolds, Inc. and William Stern, Jr. were represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman H. and Ann R. Imberman Claimants vs . Resource Securities Corp. Respondent CASE 191-00879 AWARD CASE SUMMARY Norman H. and Ann R. Imberman, in a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, allseed that Respondent, Resource securities Corporation, originany Known as Ruff Secuiitieb Corporati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-. Danny M. McClellan NASD #91-00878 Name of Respondent: i s \ D.H. Blair & Co. Jeffrey Weissman For Claimant: Daniel J. Winfree, Esq., San Diego, California. For Respondents: William Badinelli, D.H. Blair & Company, New York f New York. Statement of Claim filed: March 19, 1991. Claimant's Submission Agreement si

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerome & Mildred Tbder vs. Name of Respondents First Fidelity Capital Corp. Ted Rubin National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-00871 For Claimant: Fro se. For Respondents: No an ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leonard J. & Ellen C. Marchese. Claimants vs. Josephthal & Company Michael Auletta Respondents CASE #91-00869 AHABD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, Claimants Leonard & Ellen Marchese who appeared Pro Se, alleged that Respondents Josephthal & Co. through their register

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant First Union Securities, Inc. V. 01-00757 Dallas, Texas Respondent John J. Coutris REPRESENTATION OF PARTIES First Union Securities, Inc. ("Claimant") was represented by Renan I. Sugarman, Esq., Attorney at Law, Chicago, Illinois. John J. Coutris ("Respondent") appeared pro se, but did not appear at the hearing. CASE INFORMATION The Statement of Claim