N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ephraim & Rose W. Ross 9L-03511 Name of Respondent s) Merrill Lynch Pierce Fenner & Smith Inc Sidney Koean REPRESENTATION For Claimants: Joseph Spiegal, Esq. sole practioner. For Respondents: Clarence Pozza, Esq. of Miller. Canfield. Paddock & Stone. CASE INFORMATION Statement of Claim filed: October 21. 1991. Cla

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-03509 AKABD In the Matter of the Arbitration Between Lucille L. Thorndal Claimant vs. Dean Witter Reynolds, Inc. Alvin Dietz Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6, 1991, Claimant, Lucille L. Thorndal, by and through her personal representative, William E. Thorndal, alleged that on April

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Matthew Flynn and 00-05268 Detroit, Michigan Gregory J. Schwartz & Co., Inc. Gregory J. Schwartz Judith M. Schwartz Walter G. Schwartz, Gregory J. Schwartz, Jr., Edward A. Schwartz, and Joseph E. Schwartz REPRESENTATION OF PARTIES Matthew Flynn ("Claimant") was pro se. Gregory J. Schwartz & Co., Inc., Gregory J. Schwartz , Judith M. Schwar

N.A.S.D. AHRHD QF m** imi'i'i U!U DEAIJ3RS In the Matter of tha Arbitratinn Between Betty, Marc and Nancy Field, Jttea 91-03505 of Respondent (a) M.L. Stem & Ooipany, Inc. David Bender For Claimant: Betty Field, In Pro Per For Respondent: Michael TM+^Mm, Esq. - Mlndlin f Tigennan & Bbltzzosn Statement of Ha-ha filed: Ifavorber 6, 1991 Claimant's Sucmissica, AgrecEoaat fflgnfffl cat Ont^i'T^r 24, 1991 Joint Statsnent o£ AnsMer fil

N.A.S.D. AWftKD a> N&TICNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Of National Association of Securities Deafen, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Mark O'Ifelley of 91-03490 Otra Securities Group Inc. David Phillips For Claimant Mark O'ltolley ( "Claimant 11 ) : ha appeared pro se. For Respondents Otra Securities Group Inc.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03488 AWARD In the Matter of the Arbitration Between Edith Meisela Claimant vs. Moore & Schley n.Jc.a The QMS Group, Inc. Marc Strasser Respondents CASE SUMMARY In a claim filed with the National 1 Association of Securities Dealers, Inc. on November 5, 1991, Claimant, Edith Meisels who appeared Pro Se, alleged that on October 10 r 1987 Respondent, Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant E. L. Maytag 91-03481 Name of Respondents Prudential-Bache Securities Inc. Dennis Gitlin REPRESENTATION For Claimant, E.L. Maytag ("Maytag"): R. Lawrence Bonner, Esq. of Greer, Homer and Bonner, P.A. For Respondents, Prudential Securities, Inc. ("Prudential") and Dennis Gitlin ("Gitlin"): Brian D. Elias, Esq. of Fowler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul and Joan Altman CASE #91-03480 Name of Respondent OTRA Clearing, Inc. REPRESENTATION For Claimant: Cynthia DiBartolo, Esq. of the law offices of Noah, Singer, Sayid & DiBartolo. For Respondent : Scott Monson, Esq. in house counsel at Otra Clearing, Inc. CASE INFORMATION Statement of Claim filed: November 4, 1991. Claimant's Sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In che Matter of the Arbitration between Virginia Trading Co. Claimant vs . Stifel Nicolaus & Co., Inc. Mike Taron Respondents CASE #91-3477 AWARD PUBLIC CASK SCTMRRY In a claim filed with National Association of Securities Dealers, Inc., on November 5, 1991, Claimant, Virginia Trading Co. through it' s representative Edward Groseclose, alleged that Respondents Stifel Nico

N.A.S.D. AWARD Associanai OP m«imm'ms DEALERS In the Matter of the Arbitration Between of Faraiooon A. Oshtory F, Oshtoxy NASD Arbitration Mb. 91-03476 Name of Merrill Lynch, Pierce, Fenner & anith, Inc. Ricardo A. Granadbs Larry Petty Franic Quacinella For (Hainan t: Robert E. T^ v "^ | H f F > j- Eacj* - CZxrt Fraoc co For Respondent: Cbarles L* Beaderaca r - Merrill Lynch - N