N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold A. Hoenstine 92-03947 Name of Respondent Penn Square Management Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 20, 1992, Claimant Harold A. Hoenstine who appeared Pro Se, alleged that in October, 1991 he owned approximately 13,455 shares of U.S. Gove

NASD Arbitration No. 92-03942 _ N.A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant is] Jane H. Clarke Name of Respondent (s) Bateman Eichler, Hill Richards, Inc. REPRESENTATION For Claimant: Jules Leo Federman, Investors Rights Association, Santa Barbara, California and Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: A. Brad Busscher, Esq., Ke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lynn Wood 92-03940 Name of Respondents Dean Witter Reynolds, Inc. Watson W. Dyer REPRESENTATION For Claimant, Lynn Wood "Wood"): Robert W. Anthony, Esq. of Warlick, Fassett, Divine & Anthony, Orlando, Florida. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Watson W. Dyer ("Dyer"): Elizabeth Hill, Esq. of Dean W

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NarneofClairiiant Merrill Lynch Pierce Fenner & Smith Inc 92-03939 Name of Respondent Vista Income Properties, Inc., f/k/a O.B.I.C. Corporation CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on November 20,1992, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their counsel Mic

4fc N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant O. Jonathan Steinacker vs. AWARD #92-03935 Name of Respondents Oppenheimer & Co., Inc. Kenneth M. Harb REPRESENTATION For Claimant; O. Jonathan Steinacker appeared pro-se. For Respondent: Karen A. Gould, Esq. of Hertz, Schram & Saretsky. CASE INFORMATION Statement of Claim filed: November 19, 1992. Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Baine Morgan Dedman 92-03932 Name of Respondents Shearson Lehman Brothers, Inc. Robinson-Humphrey Company Inc. Conrad J. Zimmerman, Jr. Fred Bingham REPRESENTATION For Claimant: Andrew K. Epting, Jr., Esq., of Wise & Cole, P,A. For Respondents Shearson Lehman Brothers, Inc. ("Shearson"), Robinson-Humphrey Compan

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Forsyth 92-03931 Name of Respondent Norman Sheff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1992, Claimant Eugene Forsyth, who appeared Pro Se, alleged that on October 23, 1991 and October 24, 1991 Respondent Norman Sheff, the principal of Noibert As

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Terri J. Meador and 92-03930 Name of Respondents Lovett Underwood, Neuhaus & Webb, Inc.; Kemper Securities, Inc. Paul Mahachek REPRESENTATION OF PARTIES Terri J. Meador ("Claimant") was represented by Robert W. Hammer, Esq., Fort Worth, Texas. Lovett Underwood, Neuhaus & Webb, Inc., Kemper Securities, Inc. and Paul Ma

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-05014 Baruch Bentov and Leslie Parker, claimants vs. Charles Schwab & Co.» Inc., respondent. ATTORNEYS: For Claimants appeared Steve Buchwalter, Esq., Encino, CA. Respondent appeared through its in-house counsel, Amir Tadjedin, Esq., San Francisco, CA. DATE FILED: November 13, 2000 CASE SUMMARY: Claimant alleged that respondent acted in violation of the Securities Act of 1934; negli

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard M. Deutsch Patricia Sticht 92-03923 Name of Respondents J.W. Charles Securities Inc. Charles W. Johnson REPRESENTATION « For Claimants, Richard M. Deutsch ("Deutsche") and Patricia Sticht ("Sticht"): Jim Scutti, Esq. For Respondents; J.W. Charles Securities Inc. ("JWC") and Charles W. Johnson