Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hornblower & Weeks, Inc. and CJR Equity L.JLC., (Claimants) vs. Clark L. Bosserman, (Respondent) Case Number: 00-05263 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Hornblower & Weeks, Inc. ("Hornblower") and CJR Equity L.L.C. ("CJR"), hereinafter collectively referred to as "Claimants"; Frank J. Zazzarro, Esq., Imperial, Zazzarro & Calabro, P.A., M

PUBUC N.A.S.D. AWARD ASSQCIATICN OF SECOTOT32S DEAUERS In the Matter of the Arbitration Between NameofClaiinant; Douglas J. T^v^^n 91-03395 NameofRfiSjDgndent Christopher Boeckhaus Claimant appeared pro se. Respondent did not attend *"**? hearing. OVSE Statement of Claim filed on: October 25, 1991. Claimant's Submission Agreement signed on: February 27, 1991. Statement of Answer filed by Respondent Christopher Boeefchaus on: Febr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Charles A. & Barbara J. Voorhees Claimants CASE #91-03388 AWARD ~ - • *•- vs. Murphy Favre, Inc. Roger L. Dean Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1991, Claimants Charles A. & Barbara J. Voorhees who appeared pro se, alleged that Responde

HJL.S.Z). JWOUSD ASSOCTAnCN OF SHCCBQRX55 BEAXfiRS la tta setter of the Ad?itratioa Productivity Derekgxnait Corp. 91-03387 Rotan Hoale Inc. Of da±mnt v«s rcpteaented, by Join j. Allan, nz« its Reapcctfe&t ws rtjiresented tiy Michael R. Alford, Esq. of PaineWctber, ovag The Stateoaot of f^filir vaw filed on or about Ostobar 28, 1391* dadinant's SubntsslGa Aaroawct WBS uosignfid tut notttdzfid an Nbvafaac 14 f 1391 as if signed lay Jo

N.A.S.D. AWARD NKTICNMi ASSOCIATION OF SECDRmES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Christopher Quill vs. NASD #91-03384 o£- Smith Barney Harris Upham & Co. , Inc. Patrick Gabrielli For Claimant: Mitchell C. Green, Esq., Los Angeles, California For Respondents: larry H. Iron, Esq., snrH-fr Barney Harris Upham & Co., New York, New York Stataneat of Claim filed: October 28, 1991 Claimant's Submission

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : PUBLIC Irineo P. Diaz, Jr. Claimant vs. CASE #91-03383 AWARD Payton D. Crosaley Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1991, Claimant, Irineo P. Diaz, Jr., who appeared Pro Se, alleged that Respondent Payton D. Crossley, a registered representative with Dean Witter purc

— N.A.S.D. AXMZD MRTI3IAL ^ffJXXj'irfTKH OF Stf * IU *-'•*' * *** DEAISRS In the Matter of the Arbitration Be Name 03 John F. & Shirley K. Heriiby Theodore Bitter 91-03247 Martin Frankal laSalle Street Securities, lac. For Claimants: Jeffrey Creamer, Esq. of Sbumater, loop & Keoctrick. Respcoadeat Martin Pranteel did not attend the bearing. aespondeat LaSalle Street Securities, Inc. has entered into a settle iijiTmmii with the da

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Donald Morrow Resorrville Inc. Donald Morrow IRA National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC 91-03241 Name of Respondent^ Prudential Securities Inc Joseph Antosh REPRESENTATION For Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05260 Steve Dumont and Chelsea Dumont, claimants vs. Stephen Estey, respondents. ATTORNEYS: Claimant appeared Pro Se, Norwich, CT. Respondent appeared Pro Se, Oakdale, CT. DATE FILED: November 28, 2000 CASE SUMMARY: Claimants alleged that respondent failed to execute a trade of 3COM stock in a timely manner thereby causing losses to claimants' account. ARBITRATOR'S REPORT: The C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03239 AHARD In the Matter of the Arbitration Between Anchor National Financial Services, Inc. Claimant vs. Phillip A. Barragate, Esq. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on October 16. 1991, Claimant, Anchor National Financial Services, Inc. by and through their outside counsel, Richard Gottlieb, Esq., of Gottlieb