N.A.S.D. AWARD ASSOCIATION OF SECDRIT2ES DEALERS In the Matter of the Arbitration Between Of Early H. Whitater 91-02533 Mame Of RfMymnrfgnt (3) A.G. Edwards & Sons, lac. KtSHUSatarJLKJL'JJLfli For Claimant: Kenneth M. Hppson, Jr., Esq. of Colunbus, Georgia. For Respondent: William S. Port, Esq., on-house counsel from A.G. Edwards and Sons, Inc. in St* Louis, Missouri. cass Statement of n*i-m filed: August 15, 1991. Claimant's Sub

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Maurice F. and Barbara J. Moriarty and 00-04927 Minneapolis, Minnesota Name of Respondents John G. Kinnard and Company, Inc. James A. Crenna REPRESENTATION OF PARTIES Maurice F. and Barbara J. Moriarty ("Claimants") were represented by Michael Huberman, Michael Huberman and Associates, La Quinta, California. John G. Kinnard and Company, Inc

N.A.S.D. AWAED Assocxanoi OP SSCCRITS t^ae Matter or tie ArEicraticn Be ttame of daisants 91-02530 Anfhnny Ferruzzi •TotaP T. MQE3CL Albert 7.1arti» TbdiE. Nadail Aurnrny Stc j.3i r^. For daiaants: David G. Hirscbberg, Sag. of Waxier & Burfctoart. ?.C. Par Respaadeat Ttodd H. Nadell (-BespaGdait Nadell'): Jaaas O. Druter. Esq. of Kase & Druicer, Zsqs. Ptar Respondeat Albert ZlarlP ("Respcndait Zlade-) : Altoert For Seapcndait Jot

N.A.S.D. AWARD NATICNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Bruce T. Blythe 91-02524 Name of Respondent (s) Jfarc Stuart Rogovin PUBLIC For Claimant: Richard L. Heffner, Jr., Esq. of Page & Bacek in Atlanta, Georgia. Respondent Marc Stuart Rogcrvin did not appear in the proceeding. case mptSMKncK Statement of Claim filed: August 16, 1991. Claimant's Submission Agreement s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Hardy Claimant vs. Wellshire Securities, Inc. - Lawrence J. Carsi - Thomas A. Butterfield - Joseph Jenkins, Jr. - Sdward D. Braverman Robert Cohen Carol Martino , Respondents CASK #91-02522 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1991, Claimant, Anthony H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda M. Martin 91-02521 Name of Respondent Schneider Securities -\ ar-- REPRESENTATION OP PARTIES For Claimant Linda M. Martin: pro se. For Respondent Schneider Securities: Barry D. Tull of Schneider Securities, Denver, Colorado. CASK INFORMATION Statement of Claim filed by Claimant Linda Martin: August 14,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Name of Claimant Texvest Factors & Financial Services Corporation and -~ -91-02519 Name of Respondents - - -".. '»-- Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES Claimant Texvest Factors & Financial Services Corporation was represented by Tim G. Sralla, Esq. of Fielding, Barren & Taylor, Fort Worth, Texas. Respondent S

Arbitration w a s n AWARD National Association of W.A.&.D. AHAKU Securities Dealers, inc. ___ „ ,_ __ _ __ ^ __ NASD Financial Center NATICMAL ASSCCEATICN op SBojkrmi! DEALERS 23 whitenait street New York. N.Y. 10004 In the Matter of the Arbitration Between p AX 121 2) 858-4339 Nans of Kenneth A. Barton 91-00408 Name of Respondents Securities Settlement Corporation Manmouth Investments, Inc. Larry Zuliani 3d Ransom St

NJLS.D. AWARD Arbitration NATIONAL ASSOCIATION OF SHUUklTiKS DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Jerry Keoney tfame_of_Jtegxpdent(s) Snith Barney Harris qpham & Co., Inc. Mark R. Sorensen National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No . 91-00400 i*af»asaanxmut Claimant, Jerry Kenney ("Kenney")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00399 AMABD In the Matter of the Arbitration Between Edward Baumgartner Claimant va. Charles Schwab & Co., Inc. * Respondent CASE SUMMARY Pro Se Claimant, Edward H. Baumgartner, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that Respondent Charles Schwab & Co., Inc. owes him interest from January 1988 to March 1989