PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimaDt Barbara Fassinger 93-00591 Name of Respondents Dean Witter Reynolds Inc. Michael IL Nkkfcr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Febniary 17, 1993, Claimant Barbara Fassinger, who approved Pro Se, alleged that Respondent Michael R. Nkkkr of the Respondent firm De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil E. West 93-00590 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1993, Claimant Neil E. West, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. sold two silver contract positions he owned without his a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Seymour G. Statman 93-00585 Shearson T^hman Brothers, Inc. John Michael Vermilya CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1993, Claimant Seymour G. Statman, who appeared Pro Se, alleged that Respondent John Michael Vermilya of the Respondent firm Shearson Lehman Brothers, Inc. failed to

NASD Arbitration No. 93-00584 _ N.A.S.D. AWARD NATTQNAT, ASSOCIATION OF SECTmiTTES DF&T.ER5 . In the matter of the Arbitration Between Name nf Claimant f si David S. Deskins Name* of Respondent (s) U.S. Securities Clearing Corp. Thomas W. Granvold REPRESENTATION For Claimant: David S. Deskins, Tacoma, Washington For Respondents: A. James Miranti, Esq., U.S. Securities Clearing Corp., San Diego, California CASE TOTORMATTON Sta

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05053 Horwitz & Associates, Inc., claimant vs. Charles B. Leckinger, respondent vs. Horwitz and Associates, Inc., and Joshua Fry. ATTORNEYS: For Claimant/Counterclaim Respondent, Horwitz & Associates, Inc., appeared Christopher L. Gallinari, Esq., of the firm Bellows and Bellows, Chicago, IL. For Respondent/Counterclaim Claimant, Charles B. Leckinger, appeared George S. Robinson, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUOTIES DEALERS In the Matter of the Arbitration Between Name of James L. Lewis, Trustee for James L. Lewis and Mary Anne Lewis 10-1 1-77 Living Trust, and Gwendolyn Lewis. His Daughter vs. NASD #93-00582 NflOlft of Respondents Prudential Securities, Inc., Formerly Prudential-Bache Securities, Inc. For Claimants: Myron S. Dunay, Esq., Delray Beach, FL For Respondent: Gary R. Gleason, Keesai Young

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame nf Claimant Carolyn Lu Inman 93-00577 Name of Respondents Titan Capital Corp. Richard D. Dwinell Gregory D. Fitzpatrick TASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1993, Claimant Carolyn Lu Inman, through her counsel Kent W. Meyer, Esq., Sacramento, CA, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Brady AWARD vs. NASD #93-00570 Name of Respondents Planned Investments, Inc., IFG Network Securities, Inc., M. Douglas Woodring, Beverly F. Tanner, Marvin Pheffer, Howard Ledbetter HFPRFSIgNTATlON For Claimant: Richard Sacks of Investors Recovery Service of Novato, California James Sullivan, Esq. of

N . A - S - D - AWARD NATIONAL ASSOCIATION OF 5ECTTOTTTES DPAT.FPS . INC. - In the matter of the Arbitration Between Name of Claimant fs) Philip J. Drieci and Elizabeth R. Drieci, Trustees UTD 4/4/86 by Philip and Elizabeth Drieci NASD Arbitration No. 93-00564 Name of P^egpondent ( s) Kidder, Peabody & Co., Incorporated RgPRggENTATION For Claimants: Steven A. Micheli, Esq., Ault, Deuprey, Jones and Gorman, San Diego, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Jerry Hering 93-00559 Nam Jeff Cutler Franklin-Lord Inc. CASE SUMMARY m a claim filed with the National Association of SecuntiesDea Inc. on February 16, 1993, Claimant Jerry Hering, who appeared Pro Se, alleged that Respondent Jeff Cutler of the Respondent firm Franklin-Lord, Inc. failed to follow his instructions and sold wi