PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla Richardo B. Zamora 92-03859 Name of Respondent Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16, 1992, Claimant Richardo B. Zamora, who appeared Pro Se, alleged that on or about January 16, 1989 he opened a full service brokerage account

N.A.S.D.,INC. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter ot the Arbitration Between Name of Claiman^ Herbert & Jean Levy JTWROS 92-03857 Name of Respondents Prudential Securities, Inc. Robert A. Friedmar CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16. 1992, Claimants Herbert & Jean T< evy, who appeared Pro Se, alleged that Respondent Robert A. Friedmar, while emplo

N.A.S.D. AWARD p(jni ,„ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty L. Rouse 92-03856 Name of Respondent Lawrence H. Butler CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 16, 1992, Claimant Betty L. Rouse, who appeared Pro Se, alleged that Respondent Lawrence H. Butler of the firm Cruttenden & Co., misrepresented the quality of

N.A.S.D. AWARD APR 2 9 1994 UL3I. NATIONAL ASSOCIATION OF SECLHITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ronald C. Timm Name of Respondent(s) Tom Adkins J.W. Gant and Associates, Inc. 92-03852 REPRESENTATION • For Claimant: Ronald C. Timm ("Timm") appeared, Pro Se. For Respondents: Tom .Adkins ("Adkins")appeared Pro Se. and J.W. Gant and Associates, Inc. ("Gant") did not enter an appea

92-03851 Stipulated AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Glazier Name of Respondent Kemper Securities. Inc. REPRESENTATION OF PARTIES For Claimant: Marty Schwartz. Esq. of Coffield, Ungaretti & Harris. Chicago, Illinois. For Respondent: Christopher!. Barber, Esq. of Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Amended Statement of Claim filed

V.A.S.D- AWARD NATIONAL ASSOCIATION OF SEClTRlTmS DEALERS In the Matter of the Arbitration Between of (TlT Nancy A. Toomey NASD Arbitration No. 92-03849 Name gf Respondents Pearson Lehman Brothers, Inc. Donald C. Shaw REPRESENTATION For Claimant: Walter L Middlecamp - Portland, Oregon For Respondents: George O. Richardson, in, Esq. - Shearson Lehman Brothers, Inc. - New York, New York CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants R.A. Gillis & Fabiola R. Gillis 92-03843 Name of Respondents Dominick & Dominick Incorporated; Andrew Scudiero; Robert H. Griffith; Nick Ferrara. REPRESENTATION Claimants R.A. Gillis and Fabiola R. Gillis appeared pro se. Respondent Dominick & Dominick Incorporated was represented by Suzanne M. Saur, Esq. and John

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marnett Corp. Case # vs. 92-03841 Name of Respondents Fanny Montgomery Charles Ung Edwin E. Perry REPRESENTATION Claimant, Marnett Corp. ("Claimant"), was not represented by counsel. For Respondent(s), Janney Montgomery Scott, Inc., ("IMS"), Charles Ung ("Ung"), and Edwin E. Perry ("Perry"), Frank Salera. Esq. from

Award NASD Dispute Resolution in tne Matter or me Arbitration Between: Name of the Claimant Case Number: 00-05003 C. Stephen Hautpli Name of the Respondent Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. REPRESENTATION OF PARTIES For C. Stephen Hautpli ("Hautpli"), hereinafter referred to as "Claimant": Paul I. Aronowitz, Houston, Texas. For UBS PaineWebber, Inc. ("UBS-PW"), hereinafter referred to as "Respondent": Charles W. Schwart

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph J. Whittman 92-03840 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Brian C. Buetel REPRESENTATION Claimant Joseph J. Whittman, HI ("Claimant"): Herbert M. Linsenberg, Attorney at Law and Anthony Boris, Attorney at Law. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill 11 ) and