NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03130 AWARD In the Matter of the Arbitration Between Milton Levin Claimant vs. Paul Keiley Respondent «. ** CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1991, Claimant, Milton Levin, who appeared Pro Se, alleged that on March 7, 1991 Respondent Paul Keiley, a registered representative at Barrett Day Securities, I

MOU-17-1953 16:07 FROM HhSD-HRE I TRfiT IQN-CNICftGD TO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John D. Paulson 91-03122 Nae of Dougherty Dawkins Strand & Yost REPRESENTfUQN For Claimant. John Paulson, at the hearing: Brace Pearson, Brace Pearson, luc. , Fargo, North Dakota. For Respondent. Dougherty Dawkins, Strand & Yost at the hearing: Frank A. Taylor, Esq. of Poph

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 00-05242 John P. Edmonds Respondents Hearing Site: Chicago, Illinois First Union Securities, Inc. and Paul Emerson REPRESENTATION OF PARTIES Claimant, John P. Edmonds, Esq., hereinafter referred to as "Claimant," represented himself and has law offices located in Chillicothe, Illinois. Respondents, First Union Securities, Inc. and Paul Emerson, he

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02507 AHAKD In the Matter of the Arbitration Between Mark M. Gates Claimant vs. PaineWebber, Inc. Respondent C!A5E SUMMARY "in a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1991 f Claimant Mark M. Gates who appeared Pro Se, alleged that Respondent PaineWebber, Inc. wrongfully liquidated a purchase of Solomon Warrants,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02506 AWARD In the Matter of the Arbitration Between John D. Peterson Claimant vs. Thomas James Associates Ron Wheet Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1991, Claimant John D. Peterson, who appeared Pro Se, alleged that Respondents Thomas James Associates and Ron Wheet sold the Claimant' s Sunris

N.A.S.D. AWARD NATIONAL ASSQCXAHQbt OP fjiJLTJRl'i' * ^ HEALERS la the Matter of the Arbitration, Between p£ Jorge & Mary Trcw Garcia 91-02503 of John 6. Klnnard and Company, Inc. Paul Shiite Suuinit For Claimants: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Paul Shute: Terrene* J. Fleming, Esq. of Llndquist & Venoum, Minneapolis, Minnesota. For Respondent Sutmdt Investment, Inc

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants) Joseph Weinstein Case No. 91-02502 of Respondent(s) A.G. Edwards & Sons, Inc. Douglas Breman & Co., Inc. Jeffrey M. Loper Michael French REPRESENTATION For Claimant Joseph Weinstein ("Weinstein"): Russell L. Foiicey, Esq. For Respondents A.G. Edwards and Sons, Inc. ("A.G. Edwards"), Jeffrey M. Loper ("Loper") and Michael French ("French"): Clay L. Grumke, Esq.

.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Seymour Cohen 91-02497 Name of ResDondent(s) A.G. Edwards & Sons, Inc. Douglas Bremen & Co. Blaine Andrews & Co. Jeffrey Loper Michael French REPRESENTATION For Claimant, Seymour Cohen ("Cohen"): Russell L. Forkey, Esq. For Respondents, A. G. Edwards & Sons, Inc. ("Edwards"), Michael French ("French") and Jeffrey Lo

N.A.S.D, ANAKD NEEKWAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration of Robert D. Burkholder 91-02486 Name_o£_Regpandents J.W. Gant and Associates, IDC. - **-- Douglas Weir Kevin Mcdain FOOT Claimant: Anthony j. Horn. Esq., Respondents: J.W. Gant and Associates, Inc. Douglas Weir and Kevin Mcdain failed to appear at the hpa-ring. QiSEE Statement of rna-itn filed: August 9, 1391. Claimant's Sulanission Agr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas R. Dever Charles N. Williams Claimants vs Hibbard Brown & Company, Inc. Michael J. Young Donald C. Heaney Respondents PUBLIC CASE #91-02484 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1991, Claimants, Thomas R. Dever & Charles N. Williams, who appeared Pro Se, all