N.A:S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Judith Kamin 91-02457 Name of Respondents Shearson Lehman Mutton, Inc. Seymour P. Antin REPRESENTATION Claimant, Judith Kamin ("Kamin"): pro se. For Respondents, Shearson Lehman Hutton Inc. ("Shearson") and Seymour P. Antin ("Antin"): Brain Joslyn of Boose Casey Ciklin et. al. CASE INFORMATION Statement of Claim fil

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between / Walter F. Homich ; i Claimant ; CASE #91-02456 vs. ; AWARD / Members Investment Services, Inc. ; / Respondent ; CASE SUMMftRY Claimant Walter F. Homich, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1991, alleged that Respondent Members Investment Services, Inc. were negligent in se

N.A.S.D. AWARD ASSCClAL'llN OF SECDRITIES 7™***™ la the Matter of the AaSaitratlon Beonoon of Winona Chambers 91-02455 Name of TVnglan P. Davis OF FMO3E3 daimanc was represented by Miles M. Gersh, Esq. of Gersh & Denver, Colorado. Respondent uaa represented by Russell K. Bean r Esq. of Krys, Boyle, Golz, Reich & Prcetinan, Denver, Colorado. Tbe Statanent of n**™ vas filed on or about August 8, 1991. Claimant Winona H. nmn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant George H. Bane Case No. 00-05238 Name of Respondent Ameritrade, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES George H. Bane, hereinafter referred to as "Claimant", appeared pro se. For Ameritrade, Inc., ("Ameritrade 1 '), hereinafter also referred to as "Respondent": J. Vihstadt, Esq. of Ameritrade, Inc., Omaha, Nebra

Arbitration ® National Association of u & c n »mnn Securities Dealers, Inc. w.A-b.u. AWAKU NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURiTlhS DEALERS New York, N.Y. 10004 FAX (212) 858-4389 In the tfetter of the Arbitration Between Name of Claimant Sbredney Ventures Corp. 91-02451 Name of Respondents Castle Securities Corp. Andrew Scudiero Nicholas Ferrara For Claimant; Harold Winfcler, Esq. of the l

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary T. Schmitz Claimant vs. Arthur Obermeier Respondent CASE #91-02445 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1991, Claimant, Mary T. Schmitz by and through her counsel, William M. Schmitz, Esq., Boulder, Colorado, alleged that Respondent Arthur Obermeier charged her a 4.75%

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02444 AWARD In the Matter of the Arbitration Between Terry L. Bragg Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1991, Claimant Terry L. Bragg, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. credited funds to his customer account in error, and t

KJLS.D. AWMZD ASSOCIATICN OF SBCDKITHS DEALERS In the Matter of the Arbitration Between Name of Enaie B. Nordman, Ttustee for the Benefit of Ernie B. Nordman dated November 6, 1284 vs. NASD #91-02442 NJ5DDB Of Masoa Hunt & Company Wedbush Matgaii Securities George Jones For Claimant: Janes C. Krause, Esq., San Diego, California For Respondents* Mason Hunt: Nb appeazaoce at luvii linj For Wedbush Margan: Zftrie Eaton, Wadbush Mott

N.A.S.D. AWRED ASSOCIATION OP SBCDRITIES DEALERS In the Matter of the Arbitration Between of & Janet Fine 91-02437 Shearson T^rmamn Brothers, Inc. For Claimnts Etoard & Janet Flue: Anthcny V. Trogan, Esq. of the law firm of Weisman Trogan Young & Schloss. For Respondents gfraa-rwm r^hman Brothers, Inc. ("Shearson") and Robert ("Deaitoaugfa") : Howard H6rtz of the law firm Hertz, Schram & Saretsky, P.C. case Stateoent of n*im filed: A

NATIONAL ASSOCIATION CF SECURITIES DEALERS, _NC. In the Matter of the Arbitration Between John 5: Gloria Zaremba Claimants vs. Cowen & Company Thomas Bergen David J. Maloney ResDcn.aer.ts CASE #91-02434 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1991, Claimants, John & Gloria Zaremba, who appeared Pro Se ( alleged that in August 1983 they opened IRA accou