Arbitration - @ N.A.S.D. AMKRD NKTICKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Trans National Group Services, Inc. Steven vs. of PainSWetber, IDC. Bruce Baiter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 868-4389 Case # 91-00770 For Claimant, Trans National Group Services ("TOGS") , Will

N.A.S.D. AWARD ASSOCTATICN OP SECURITIES DEALERS In the Ifatter of t-he arM t"rari_en Between dark K. Sanpson vs NASD #91-00769 Shearson Ta>wnar| Hutton, Inc. Burfaam Smith Jack G. Grr, Esq. - Harris Qrr & Wakayama for Claimant Ttoras C. Saad, Esq. - Miller, Hash, Wiener, Eager & Respondent, Shearson T^>Vwn»n Button, Inc. David A. Tbonpson, Esq. - Moore & TVnftfinn for Respondent Second Amended Statement of fi»-hn filed: March 26, 1992 C

N.A.S.D. AWARD ASSOCIATION OF SBCDRITIES DEALERS la the Matter of the Arbitration Between Name **f fn»< ^ant(s) 91-00768 (fl) , Inc. Fidelity luucBlmeutB For dainent: Stephen M. Venice, Esq., Kbapp & Vemoa, 525 Oolversity Avenue, Suite 702, Palo Alto, CA 94301 For TTf¥i|Trrtenri Btuoe W. «»I< MTIJJ Baq., Gcabam 6 Jtanes P Cbe Maritima Plaza, Third Floor, Saa Francisco, CA 94111 Statanent of n«< » filed: Jtorch 11, 1991 dadaa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan E. Sordon Claimant vs. D. Kevin Burggraaf Prudential Securities, Inc. Respondents CASE f91-00763 CASE SUMMARY Susan E. Sordon, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1991, alleged that Respondent and former broker, D. Kevin Burggraaf, while employed in the Pasadena, CA office of Prud

N.A.S.D, OP SBCQR1TIES In the tetter of the Arbitration Between Of Nancy Lee Natidns 91-00761 ,. ~ Dean Witter Reynolds, Inc., , and John T. Gammy, Jr. Claimant Nancy Lee Watkins was rcproofintod by W. Brooke Hawfclos, Esq., Qiattanooga, Teonc , Dean Witter Reynolds, Inc. and John T. Garmany, Jr. by George D. Sullivan, Esq. of Dean Witter Reynolds, Inc., Hew r Mew York. CASE Tte Stataaent of HftlTn was filed with the NASD

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J. & Betty Thiele Claimant CASE #91-00758 Dean Witter Reynolds, Inc. vs. * AWARD Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1991, Claimant Robert J. & Betty ™« le who appeared Pro Se r alleged that Respondent Dean Witter Reynolds, Inc. misled them into the purcha

Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Kenneth and Jane Elkins Case Number: 01-00748 Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Elliot Weissmark Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kenneth and Jane Elkins ("Elkins"), hereinafter r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Gabryszak No. 91-00750 Name of Respondents Stratton Oakmont, Inc. - •*- Neal Kipperman REPRESENTATION OF PARTIES For Claimant: Paul J. Sussman, Esq., Chicago, Illinois. For Respondents: Katherine Nathan, Esq. of Brandeis, Bernstein & Wassennan, New York, New York. CASE INFORMATION Statement of Claim filed: Ma

N.A.S.D. NATIONS ASSOCIATION OF SECURITIES DEALJSRS In the Matter of the Arbitration Between Sam A. & Melissa E. Pizzo 91-00749 Name of Respondentfsi Alvin L. Harvey - Wedbush Morgan Securities Inc. Inc.. Claimants represented thaxeelves. Respondents were represented by Marie E. Eaton of Wedbush Morgan Securities, Statement of Claim filed: March 11, 1991 Claimant's Submission Agreement signed on: March 11, 1991 Statement of Answer fi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Gary & Linda K. Stefani Claimants vs. USAA Investment Management Co. Respondent v. SUMMARY CASE #91-00748 AHRHD in a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1991, Claimants Gary & Linda K i S"£ani, who appeared Pro Se, alleged that Respondent USAA Investment Management Co. recommended, through pa