N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald and Laura Tyree 93-00083 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimants: Donald and Laura Tyree were represented by Steven J. Gard, Esq. and Sandra L. Goddard, Esq. of Page & Bacek, located in Atlanta, Georgia. For Respondent: Prudential Securities Incorporated was represented by Davi

PUBLIC N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzette LJttle-Kofod 93-00082 Name of ResDondent Gene Valentino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1993, Claimant Suzette Littte-Kofod, who appeared Pro Se, alleged that Respondent Gene Valentino, while employed by the Respondent firm Merrill Lynch, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Terrence and Joanne Melius and 93-00080 Name of Respondents Shearson Lehman Brothers, Inc. Stuart Oppenheimer REPRESENTATION OF PARTIES Terrence Melius ("Claimant") appeared pro se. Shearson Lehman Brothers, Inc. and Stuart Oppenheimer ("Respondents") were represented by Michael R. Wherry. Esq. of Davis & Kuelthau. S.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNC. In the matter of die Arbitration Between Name of C!laimantfjA Bruce W. Stilson, As Trustee Of The Elise D. Marshall Trust A, And As Trustee Of The Elise D. Marshall Trust B, And Robert D. Marshall, Jr. NASD Arbitration vs. #93-00067 Name of Respondent^) Prudential Securities, Inc. David Dunn REPRESENTATION For Claimants: Thomas J. LoSavio, Esq., Low, Ball & L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joyce A. Goodman Name of Respondents Chelsea Street Securities John E. Irvine, Jr. 93-00064 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1993, Claimant Joyce A. Goodman, who appeared Pro Se, alleged that she is a 62 year old unemployed woman and on February 2. 1992 sh

N.A.S.D. AV/ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Martha Blair 93-00062 Name of Respondents Kemper Securities, Inc.: Suzanne I. Burleson; Arneson, Kercheville, Ehrenberg & Associates REPRESENTATION For Claimants: Richard Blair and Martha Blair ("Blair") were represented by Bruce Bigelow, Esq. of Blazier, Rutland & Lerner, P.C., located in Austin, Texas. F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Glenn Long, III, Claimant Vs. Fifth Third Securities, Inc., and Charles Thomas Mercer, Respondents. Case Number: 00-05305 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant William Glenn Long, in ("Long"), was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents Fifth Third Securities, Inc. ("Fifth Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant William R. Sharp vs. Case # 93-00061 Name of Respondents Shearson Lehman Brothers, Inc. John Mahonchak REPRESENTATION For Claimant, William R. Sharp ("Claimant"), Robert J. Donaghy, Esq. For Respondents, Shearson Lehman Brothers ("SLB") and John Mahonchak ("Mahonchak"), Casey Baum, Esq. CASE INFORMATION Statement of

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard L. and Sheni W. Saltz Name of Respondents Hibbard Brown & Co., Inc. Steven C. Sacco 93-00059 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1993, Claimants Richard L. and Sherri W. Saltz, who appeared Pro Se, alleged that in December, 1990 Steven C. Sacco, regi

JflN-03-1994 14=10 FROM NftSD-ftRBITRftTION-CNICnGD TO 12128S84141 P.E2 NATIONAL ASSOCIATION 0 In the Matter of the Arbitratib Name of Otaitnant Argent Petroleum Corporation and Name of Edward D. Jones & Co, REPRESENTATION OF PARTIES Argent Petroleum Corporation and Susan M. Hull, Esq. of Ji Edward D. Jones & Co. Dallas, Texas. ^Claimant 0 } was represented by Rodney Acker, Esq. & Gflchrist, Dallas, Texas. ("Respo