PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PattieS. Tomlin 92-04050 Name of Respondent Charles M. Clifton ~ ~ CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Pattie S. Tomlin, who appeared Pro Se, alleged that she first contacted Respondent Charles Clifton on July 20, 1988 when he was assoc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Paulussen, TTEE/Cold Storage Co., Inc. Pension & Profit Sharing Trust, et al. 92-04049 v. Name of Respondent Hopper Soliday & Co. REPRESENTATION For Claimant: J. Eric Kishbaugh, Esq. of the law firm of J. Eric Kishbaugh For Respondent: John Spelman, Esq. of Klehr, Harrison, Harvey, Branzburg, et al. CASE INFORMATI

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nathan Mantel 92-04047 Name of Respondent Rickel & Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Nathan Mantel, who appeared Pro Se, alleged that Respondent Rickel and Associates, Inc. misrepresented the safety of a bond he purch

AUti-g 1993 N.A.S.D. AWARDu NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Grocki Case No. 92-04045 Name of Respondents) Pershing Financial Group William K. Fraser Your Discount Broker, Inc. REPRESENTATION Claimant, Stanley Grocki ("Grodd"): EEJ Sfi. - For Respondents, William Fraser ("Fraser") and Your Discount Broker, Inc. ("YDB") William Fraser of YDB. ^ For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Stephen G. Weiss Stephen L. Blum Name of Resondents Commonwealth Associates 92-04040 REPRESENTATION For Claimant Stephen G. Weiss ("Weiss") and Stephen L. Blum ("Blum"): David M. Lewis, Esq. of the law firm of Mandell, Lewis & Goldberg, P.C., McLean, VA. For Respondent Commonwealth Associates ("Respondent"): David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.M.G. Boreas 92-04035 Name of Respondent F.N. Wolf & Co., Inc. REPRESENTATION For Claimant: J.M.G. Boreas appeared pro se. For Respondent: F.N. Wolf & Co., Inc. was represented by Robert B. Bieck, Jr., Esq., of Jones, Walker, Waechter, Poitevant, Carrere & Denegre, located in New Orleans, Louisiana. CASE INFORMATION St

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of ttie Arbitration Between Name of Charles Passantino 92-04033 Name of Respondents Halpert & Co. Janet Stamato CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1992, Claimant Charles Passantino, who appeared Pro Se, alleged that Respondent Janet Stamato, while employed by the Respondent firm Halpert &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name -of Claimants George R. Gross Andree L. Gross No. 92-04029 Name of Respondent Olde Discount Corporation REPRESENTATION OF PARTIES For Claimants: Daniel Bukovac, Esq., of Watson, Ess, Marshall & Sngasss, Kansas City, Missouri. For Respondent: Bruce A. Campbell, Esq., of Olde Discount Corporation, Detroit, Michigan. CASE INFORMATION Statement of Claim filed: November 27

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry Kazatsky and Beverly Kalisher 92-04018 Name of Respondents Bear Stearns & Company Cowen & Company Jerome S. Glickman REPRESENTATION For Claimants Barry Kazatsky ("Kazatsky") and Beverly Kalisher ("Kalisher"): Mitchell H. Cobert, Esq. For Respondents Bear Stearns & Company ("Bear Stearns") and Jerome S. Glickm

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Fran Planinsek and 00-05020 Denver, Colorado Name of Respondents Fordham Financial Management, Inc. Wexford Clearing Services Corporation Osama Man REPRESENTATION OF PARTIES Fran Planinsek ("Claimant") was represented by G. Roger Bock Esq., of Franscona, Joiner, Goodman & Greenstein, Boulder, Colorado. Fordham Financial Management, Inc. ("Ford