N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra Kaye Gardner 93-00404 Name of Respondents Charles P. Nelson Craig Wolpert Benefits Corporation Equities, Inc. Benefits Communications Corporation Great West Life Assurance REPRESENTATION Claimant Sandra Kaye Gardner ("Claimant") was represented by Richard A. Salzman, Esq. of Kator, Scott & Heller. Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Gutstein 93-00400 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1993, Claimant Joseph Gutstein, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to notify him of a pending redemption of Ame

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants J.C. and Jeanette Lindsey vs. Case #93-00399 AWARD Name of Respondents F.N. Wolf & Co., Inc. William H. King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1993, Claimants J.C. and Jeanette Lindsey who appeared Pro Se, alleged that in January, 1992, Cla

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Stalbaum 93-00398 Name of Respondents Dean Witter Reynolds Inc. Joseph Rovner CASE SUMMARY In a claim filed with the National Association of Semntfes Do Jers, Inc. on Febniary 3, 1993, Claimant Robert Stalbaum who appeared Pro Se, alleged that he had an IRA account with Respondent Dean Witter Reynolds, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant G. Donald Ritter, DVM 93-00394 Name of Respondents Bull & Bear Securities, Inc. James Joseph Dempsey REPRESENTATION Claimant G. Donald Ritter, DVM ("Claimant") appeared pro se. Respondents Bull & Bear Securities, Inc. ("BBSI") and James Joseph Dempsey ("Dempsey") were represented by Thomas J. McCabe, Attorney At Law. CA

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or Arbitration Between Name or Claimant Theodore F, Wilson vs. Case #93-00391 Name or Respondents Shearson Lehman Brothers. Inc. and David Drinan REPRESENTATION For Claimant: Joseph P. Cannichael. Esq. For Respondent: RichelleS. Kennedy, Esq., from the law firm ofBingham. Dana & Gould. CASE INFORMATION Statement of Claim filed: January 30, 1993; Amended o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald S. Harland 93-00390 Name of Respondents Hibbard Brown & Company, Inc. David K. Van Houten James Rapp B. Gregory Buscetto CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Ronald S. Harland, who appeared Pro Se, alleged that Respondent Hibbard Bro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elliot Greenberg 93-00388 Name of Respondents Connecticut Mutual Financial Services Kenneth E. Knox CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimant Elliot Greenberg, who appeared Pro Se, alleged that Respondent Kenneth E. Knox of Respondent Connecticut Mu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gene Bogenberger, Claimant v. Grant Bettingen, Inc., Triquest Financial, Inc., Wedbush Morgan Securities, Inc., and George J. Abrahamsen, Respondents Case Number: 00-05029 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent Grant Bettingen, Inc.: Grant B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Climants Legrand P. and Madelyn P. Fisk vs. Name of Respondents Prescott, Ball & Turben, Inc. Robert A. Hamilton 93-00384 REPRESENTATION For Claimants; Edward Russey, HI of Investors arbitration Services. For Respondents: Patrick R, Hogan, Esq. of Reid and Reid. CAS Statement of Claim filed: January 19, 1993. Claimants' Submis