N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Walter S. Hojka, Sr. No. 91-02877 Name of Respondents Advest, Inc. Ray DeRobbio ~ ^ Herbert J. Sims & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Henry F. Field, Esq., Chicago, Illinois. For Respondents Advest. Inc. and Ray DeRobbio: Kevin M. Flynn, Esq. of Coffield Ungaretti & Harris, Chicago, Illinois. For R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in che Matter of the Arbitration Between John A. & Mary G. Firimonte Claimants vs. Otra Clearing, Inc. Madison Chapin Associates William Kellman Respondents CASE #91-02871 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17, 1991, Claimants John & Mary Firimonte, who appeared Pro Se, alleged that Respondents Otra Clearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02860 AWARD In the Matter of the Arbitration Between Cynthia Rundlet Claimant vs. Prudential Securities, Inc. Stephen Ziomek Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16, 1991, Claimant Cynthia Rundlet, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and Stephen Ziomek misled h

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02857 AWARD In the Matter of the Arbitration Between Ann L. McCuddy Claimant vs. Keith N. Hensel Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1991, Claimant, Ann L. McCuddy who appeared Pro Se, alleged that Respondent Keith N. Hensel; who was recommended by Claimant's accountant; invested her $150,000.00 li

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rahim Multani, Claimant v. A.G. Edwards & Sons, Inc. and Michael W. Adams, Respondents Case Number: 00-04984 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael Huberman Michael Huberman & Assoc. LaQuinta, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irwin K. Kline, Trustee of Lankenau Pathology Profit Sharing Trust and Pension Trust 91-02847 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Surtees MacKercher REPRESENTATION Claimants Irwin K. Kline, Trustee of Lankenau Pathology Associates Profit Sharing Trust and Pension Trust ("Claimants" or "Trusts")

N.A.S.D. AKftSD ______ Arbitration ® _ National Association of NKTICKAL ASSOdKTICN CEP SBCORTTIES DEALERS Securities Dealers, Inc. One East Broward Boulevard In the Matter of the Aibitration Between ) Suite 1 °°° H , _ .. . Ft. Lauderdale, Flonda ' (305) S22-7391 of Claimant (g) ) Louis Tovim ) ) Case No, 91-02846 ) Name of Merrill Lynch Pierce Fenner & Smith Inc ) William SatScer, III > For Claimant, Louis Tovim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02842 AWARD In the Matter of the Arbitration Between Joseph Kita Claimant vs. Jerry Gloss Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimant, Joseph Kita,- who appeared Pro Se, alleged that Respondent, Jerry Gloss a registered representative at Excel Securities solicited him to purchase 1,000 s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02841 AWARD In the Matter of the Arbitration Between Caroline S. Goldner Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimant, Caroline S. Goldner, who appeared Pro Se, alleged that on May 2, 1989 Mr. Howard Kobrin, a registered representative of Respondent, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Thomas A. Wiltrakis, Esq. 91-02840 Name of Respondentfs) Equitable Life Assurance Society of U.S. and Ronald J. Doane REPRESENTATION The Claimant appeared pro se. For Respondents: Howard Elisofon, Esq. of the law firm of Greenberg and Traurig, New York, NY. CASE INFORMATION Statement of Claim filed: September 10,