N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Young 93-00113 Name of Respondents Smith Barney Harris Upham & Co., Inc. Ronald P. Landry CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, Claimant Stephen Young, who appeared Pro Se, alleged that Respondent Ronald P. Landry, of the Respondent firm Smith Ba

NATIONALASSC NATION OF SECURITIES DEALERS In the Matter of th Aifctedon Between Name of Clai« thf Inc. Dennis & Evelyn C Thomas Teeggnfea Esq., CUogo, IQin is U won* For Respondent, Slq.» of Fitzaimmo Statement of Claim » s 1993. Bespondeot Counterclaim fifed of Evelyn P&ak on: Maucb 19, 1993. N.A.S.D. AWAfiD ^3-00112 Ptzak For Clamant, Rtin Webber, Inc. at die hearing: Edward P» Degentaflfc, Esq.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerri Visintine 93-00108 of Respondents Anchor National Financial Services, Inc. Barbara!. Manson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1993, claimant Jerri Visintine who appeared pro se, alleged that Respondent Barbara J. Manson of the Respondent f

N.A.S JD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tee Arbitration Between F-rilz Vogehnana. Names of Re Smith Barney Habit Upham & Co., lac, f, Cttttay 93-00098 SaynwndR. Rafigtia ClaimanMFritz Yogehnana was represented by Paul J. Suasnum, Esq. of Chicago, Uliwns, HespondeftU, Smifli Bamcy, IDC, and Christopber I. Coocoy reprcacflicd by Lfoxfa R. Alpett, Esq. of Smitii Banwy, IJK;. T New Yotfc, Mew B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between \Jai-ne n f Claimant Aaron Harber and 93 -°°° 96 Vame of Respondents Dean Witter Reynolds, Inc. and Marc S. Daniels REPRESENTATION OF PARTIES Aaron Harber ("Claimant") was represented by Bill R. Mann, Esq., Boulder, Colorado. Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Paul D. Allen, Esq. of Dean

Award NASD Dispute Resolution In the Matter of the Arbitration Between: f- nf fhft P.faimflnts Pasft ."Mnmbftf: 00-05306 Curtis J. Nelson and Barbara A. Nelson St. LOUIS, MlSSOUli. L.H. Ross & Company, Inc.; Guido A. Torres; Franklyn Ross Michelin; and Ricardo Miguel Torres, Jr. Claimants Curtis J. Nelson and Barbara A. Nelson, hereinafter referred to as "Claimants," were represented by Jon A. Bierman, Esq., of Gallop, Johnson & Neuman, L.C. loc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Regini Name of Respondents Daniel X. Dunphy Lew Lieberbaum & Co., Inc. John J. Fasano, Jr. 93-00094 REPRESENTATION For Claimant, Frank Regini: Mr. Regini appeared at the hearing pro-se. For Respondent, Lew Lieberbaum & Co., Inc.: Jay Marc Israel, Esq. of Lew Lieberbaum & Co. For Respondents, Daniel X. Dunphy a

N A.S D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter en the A munition Between Name or Claimant Henry Simoni vs. Case£: 93-00093 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION Claimant Henry Simoni appeared pro se. For Respondent Dean Witter Reynolds Inc.: Thomas J. Hennessey, Esq. from the law firm of Bingham. Dana & Gould. CASE INFORMATION Statement of Claim filed: January 8. 1993. Claimant's Subm

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Caryl Shapiro Name of Respondents PaineWebber, Inc. Th-State Capital Markets Group, a/k/a Jersey Capital Market Group 93-00092 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1993, Claimant Caryl Shapiro, who appeared Pro Se, alleged that on Match 18, 1988 he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between n Claimants Rernaxd Wieraik, Veta Wternik, Trustees vs. NASD #93-00087 nf Oppenheiiner & Company, Inc., William Odenthai For Claimants: David Dotsoa, Esq., Law Offices of David Dotsoo, of San Diego, California, For Respondents: Eugene Small, Esq., OppenMcmer & Company, of New York, New York CASE INFORMATION Statement of Claim filed