N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Alfred and Antoinette Wehrfaeim 93-00681 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Michael Rago CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1993, Claimants Alfred and Antoinette Wehrheim, who appeared Pro Se, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kidder, Peabody & Co., Inc. 93-00680 Name of Respondents Knowledge Services. D Group, Inc., and Douglas Moga REPRESENTATION OlTPARTIES For Claimants at the hearing: David Rivera, Esq. of Kidder, Peabody & Co., Inc., New York, New York. For Respondents at the hearing: Douglas Moga, Pro Se. CASE INFORMATION Statement of C

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Lazar 93-00676 Name of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 24, 1992, Claimant William J. Lazar, who appeared Pro Se, alleged that on June 23, 1992 he purchased 250 shares of the common stock of CCC Franchis

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Russell Bedford and Sharon Bedford, (Claimants) vs. Metlife Securities, Inc. and Douglas Gismondi, (Respondents) Case Number: 00-05072 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Russell Bedford ("R. Bedford") and Sharon Bedford ("S. Bedford"), hereinafter collectively referred to as "Claimants": Mitchell H. Cobert, Esq., a sole practitioner, Morr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond and Marie Clarke 93-00672 Name of Respondents Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson, Inc. Marsha Lee CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993. Claimants Raymond and Marie Clarke, who appeared Pro Se, alleged that Re

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris M. Breckenridge, M.D., P.A. Employee Pension Trust 93-00671 Name of Respondent Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimant Doris M. Breckenridge, who appeared Pro Se, alleged that on April 24, 1992 she transferred

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John K. Murray 93-00668 Name of Respondents PaineWebber Incorporated; Frank Bagrier REPRESENTATION For Claimant: John K. Murray ("Murray") was represented by Mark L. Aschermann, Esq. of Houston, Texas. For Respondents: PaineWebber Incorporated ("PaineWebber") and Frank Bagrier ("Bagrier") were represented by Joseph A. V

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants E.A. and Joye Davis 93-00667 Name of Respondents Merrill Lynch Pierce Fenner & Smith. Inc. Charles S. Stiles CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimants E.A. and Joye Davis, by and through Paul N. Young of Securities Arbitration Group, Inc., Los An

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.J. St.Germain & James St.Germain 93-00663 Name of Respondents Prudential Securities, Inc. Bear Steams & Company Frederick Stone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23, 1993, Claimants C.J. St. Germain & James St. Germain, who appeared by and through their at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred S. Wilson 93-00662 Name of Respondents Hanover. Sterling & Company Ltd. Mark A. Lefkowitz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 23. 1992, Claimant Fred S. Wilson, who appeared Pro Se, alleged that in August, 1992 he purchased 1,000 shares of Alter Sales stoc