NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Richard & Mary Virgile, JTTEN Claimant vs. Madison Chapin Associates, Inc. Joseph Krochak Respondents PUBLIC CASE #91-02839 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimants Richard & Mary Virgile, who appeared Pro Se, alleged that in April, 1990 Mr, Michael Roo

7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 28 27 28 «» + \ MAY 1 : 15 R. Brian Oxman Maureen JaroscaK 14126 East Rosecrans Boulevard Santa Fe Springs, CA 90670 (310) 931-5058 or (310) 921-7881 Attorneys for plaintiffs, Paul M. Christiansen, individually and aa Trustee of the PMC Trust Estate dated May 14, 1982, and Irene c. Miller, Trus

Arbitration N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken of Robert J. and Bernadette T. Slaney Name of Respondents Charles Schwartz Prime Capital Services Inc. Jeff Oliver Michael P. Ryan Case No. 91-02835 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Claimants Robert J. and Bemadette T

Arbttratton N.JUS.D. JMKBD ASSOCanCK OP SBCCKHTES Tn Of National Association of Securities ueefteWt lnc» NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-02834 Brothers, lac. Par (TTalmnnfi Bruoa I. Sbaw r of *******"^ Simply, roc. For Reepcadttit, Merrill Lynch, Pierce. Famer & Snith ("Merrill Lyncii-),: Ibdd A* ZuckedaECOd, Esq. of Merrill Lynch. Pierce, Feaner & 3u±th. Fox

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In nhe Matter of the Arbitration Between Eugene J. Hanavan Claimant vs. Shearson Lehman Brothers, Inc. Larry Shatzkamer Respondents CASE #91-02833 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11, 1991, Claimant, Eugene J. Hanavan, who appeared Pro Se, alleged that on September 23, 1987 he instructed Respondent, Larry Sha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael Zwickl V. 00-04982 Denver, Colorado Respondents Schneider Securities, Inc. and Louis C. Alonzi REPRESENTATION OF PARTIES Michael Zwickl ("Claimant") was represented by Mark J. Appleton, Esq., of Robinson Waters O'Dorisio, Denver, Colorado. Schneider Securities, Inc. ("Schneider") and Louis C. Alonzi ("Alonzi") were represented by Russell K. Be

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael J. & KoseMarie Tcbin vs. Maine of Respondents Madison Chapin Associates, Inc. William ygi™gn Otra Clearing, Inc. National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212} 858-4389 Case # 91-02832 For Claimants, M

N.A.S.D. AWRRD NAHCNAL ASSOCXMKU OF SECURITIES DEALERS In the rSatter of tua Arbitration Between Q£ Mary Jane Lynch 91-02821 C. Dewey Elliott, lU Dominion For daimant: daiuant. Mary Jane Lynch appeared pro ss. For Respondent: Respondent C. Dewey Elliott. lU appeared pro se. Respondent TVOTflT^on rapj»-ai Qjipoirft^H < ^" was represented by Douglas W. Powell of The Tv™*TiHrwi Ccnpanies located in Dallas, Texas. Statement of Halm filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-02811 AWARD -.n che Matter of the Arbitration Between Marvin J. and Beverly Conn Claimants vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1991, Claimant Marvin J. and Beverly Conn who appeared Pro Se, alleged that Respondent Prudential-Bache Securities, Inc. we

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Franklin Gottman, DDS - TTEE Claimant vs . Corporate Securities Group Inc. Thomas McGovern Respondents CASE #91-02807 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1991, Franklin Gottman, DDS who appeared Pro Se, alleged that Respondents Corporate Securities Group