NATIONAL ASSOCIATION OF SECURITIES DEALERS/ INC. In the Matter of the Arbitration Between Agnes M. Flower Claimant vs . Smith Barney, Harris, Upham and Company, Inc. and Gregory F. Collins Respondents Case #90-02754 Award CASE SUMMARY Agnes M. Flower, Pro Se Claimant.- in a claim filed with the National Association of Securities Dealers; Inc. on October 3, 1990, alleged that her broker at Smith Barney, Harris," Upham and Comp

N.A.S.D. AWARD NATICHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mane nf f1;*im«n1-f ql 90-02748 Chris Lynn Elder Heard before: Name Public/Industry Cornelius J. McAiiliffe, Esq. Public Arbitrator Tnis claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers,. Inc. ("NASD") on April 6, 1990. Claimant. Edgar Maujsou alleged that he wanted only high yield mmlfripn]

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02746 AWARD In the Matter of the Arbitration Between Stephen R. Scholle Claimant vs. Edward R. Yaman Respondent CASE SUMMARY Claimant, Stephen R. Scholle, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged that Respondent, Edward R. Yaman, pro se, misrepresented an investment in shares of Meridian National Corpora

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of C.1 ar MDrton Michelson Mama nf G.K. Scott & Co. Inc. ) Case No. 90-02743 Heard before the Arbitrator: Patricia A. Snub, Esq. Public Uiis claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on September 27, 1990. Claimant, Morton Michelson ("Michelson"), alleged

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond Martin, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 01-00695 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Raymond Martin, hereinafter referred to as "Claimant", appeared pro se. Respondent, Quick & Reilly, Inc., hereinafter referred to as "Respondent": Samantha E. Kefford, Esq., Quick & ReiJly, Inc., New York, NY. CASE INF

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J. and Neva J. Myers Claimants vs. Dean Witter Reynolds, Inc. Respondent Case #90-02740 AWARD CASE SUMMARY Robert J. and Neva J. Myers, Pro Se, -in a claim filed with the National Association of Securities Dealers r Inc. on October 2, 1990, alleged that Respondent, Dean Witter Reynolds, Inc., through its employees and/or represent

N.A.S.D. AHAKD NKTKWRL ASSOCianCN OF SECURITIES DEfttERS : I V \ \*\ M n\/ ? n - In the Matter of the Arbitration Between t \ \\\ W - '; \\\\\ i u wj _^_., ••— NCRMAN O. MEYERS — \ AR^'-THAT'/ Claimant _.— -——-—••• and NASD NO. 90-02737 ROERN MOSIE, INC. MICHAEL KAVANAGH Respondents OF Claimant Noiman Meyers was represented by Martin Fletcher, Esq. of Rothberg, Gallmeyer, Fruechtenicht and Loga

N.A.S.D. AWA5P NATIONAL ASSOCIflUCN OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name < pf Clainantfs* Dorothy, Kathryn & Gary Bussing 90-02732 Name of Reaoondpytt" (^ \ PaineWebber incorporated Kent Kelley Claimants Dorothy J. Bussing, Kathryn Bussing and Gary Bussing v«re represented by James M. Ziegler, Esq. and Scott A. Britton-Mehlisch, Esq. of Hunphrey, Farrington & McClain f P.C., Independence p Misso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90-02730 AWARD In the Matter of the Arbitration Between Alberto Rotsztain Claimant vs . Ferris, Baker Watts, Inc. Victor Seested Respondent CASE SUMMARY Alberto Rotsztain represented by Ronald E. Lyons, Esq. of Hoffman, Apfel & Lyons, P.C. r Rockville, Maryland, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mark L. Bradbury Claimant Case 490-02725 vs. PaineWebber, Inc. and James Heitzer Respondents AWARD CASE SUMMARY Mark L. Bradbury, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged that Respondent James Heitzer, while employed at PaineWebber, Inc., engaged in an unauthorized sale of two-thousan