N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pro Tech Industries, Inc. and Gregory J. Halpera, Claimants 9 consolidated with v. No. 91-03996 Blunt Ellis & Loewi, Robert Veenendaal, Prudential Securities, Incorporated, and Robert Sayre, Respondents REPRESENTATION OF"PARTIES For Claimants Pro Tech Industries, Inc. and Gregory J. Halpern ("Claimants"): Paul Sussman, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Doiey Securities, Inc. and Harold E. Doley, Jr. 91-03976 Name of Respondent John A. Washington REPRESENTATION OF PARTIES For Claimants, Doley Securities, Inc. and Harold E. Doley, Jr., at the hearing: Keith Doley, Esq., New Orleans, Louisiana. For Respondent, John A. Washington, at the hearing: Jerome J. Pellerin, Esq. of Pola

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ''"''-*' > , Name of Claimants Doley Securities, Inc.; Harold Doley, Jr. 91-03975 Name of Respondents First Commonwealth Securities Corp.; Norbert Alonzo Simmons REPRESENTATION For Claimants: Doley Securities, Inc. ("Doley Securities") and Harold Doley, Jr. ("Doley") were represented by William E. Brown, Esq. of Covington, Louisia

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer or the Arbitration Between Name of Claimants Harold and Rita Marcus 91-03974 Name of Respondents Prudential Securities, Inc. Jeffrey Monizzi REPRESENTATION Claimants Harold and Rita Marcus ("Claimants") were represented by Carl Mazzie. Esq. Respondent Prudential Securities. Inc.. (" Prudential") was represented by Brian F. Amen,* of the law firm of Bressler. Amery & Ro

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASK #91-03968 AWARD In the Matter of the Arbitration Between Harry E. Chan Claimant vs. First Georgetown Securities, Inc. Robert T. Mann Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1991, Claimant, Harry E. Chan p who appeared Pro Se, alleged that on October 25, 1992 Respondent, First Georget

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimants Stephen Michael Golding 91-03959 Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. Kidder, Peabody & Co., Inc. REPRESENTATION For Claimant, Stephen Michael Golding ("Golding"); Jerome S. Reisman of Reisman & Abraham. For Respondent: Merrill, Lynch, Pierce, Fenner & Smith, Inc. ("M.L."); Keith Olin, Esq. of Morgan Lewis

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05297 M.L. Stern & Co., LLC, claimant vs. Ken Howard, respondent. ATTORNEYS: For Claimant appeared James D. Portman, Esq., General Counsel, Beverly Hills, CA. Respondent appeared pro se, Los Angeles, CA. DATE FILED: November 30, 2000 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement by failing to repay monies provided as a loan during his employment w

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03949 AWARD In the Matter of the Arbitration Between Robert and Mildred Evans, JTTEN Claimants vs. J.W. Charles Securities, Inc. Sheila Whitefield Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1991, Claimants, Robert and Mildred Evans, who appeared Pro Se, alleged that on July 16, 1987 Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Cathy E. Allin-Cruce and 91-03948 - - **- Name of Respondents Tata Schuchmann REPRESENTATION OF PARTIES Claimant Cathy E. Allin-Cruce was represented by Thomas M. Bradshaw, Esq. of Hoskins, King, McGannon & Hahn, Kansas City, Missouri. Respondent Taia Schuchmann was represented by Christopher M. Weil, Esq., of Weil &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William and Doris Skarnulis William Skarnulis, IRA Account Doris Skarnulis, IRA Account William Skarnulis Living Trust 91-03947 Name of Respondents USA Financial Group, Inc. William L. Davis James A. Kirkland Diversified Financial Consulting REPRESENTATION For Claimants: David M. Foster, Esq. a sole practitione