•D N.A.S.D. NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Ajfcitration Between Gaaanella & 91-00398 D. and Conpany Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Far Claimants Cannella Orlando and Caruso of Caruso & Caruso. Orlando ("Claimants")s Steven B* For H. Ttyinag DuocJc of Qonpany ("EC

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dam Rauscher Incorporated, f/k/a Dam Bosworth Incorporated Claimant, Vs. Ian C. McQuade Respondents. Case Number: 00-04926 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Dain Rauscher Incorporated ("Dain Rauscher"): Shelley L. Parnell, Esq. of the firm Dorsey & Whitney, LLP, Minneapolis, Minnesota. Respondent, Ian C. McQuade, ("McQuade") wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration-Between ) ) David Lauber ) Shirley Electric Defined ) Benefit Plan ) Claimants ) ) AWARD VS. ) ) NASD #91-00395 Lombard Securities ) Dan Detrick ) Respondents ) ) REPRESENTATION David Lauber represented Claimants* Lombard Securities was not represented. Dan Detrick was represented by Paul N. Mirabelli, Esq., Hazlet, New Jersey. No

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicholas C. Johnson, III Claimant vs. CASE #91-00393 AWARD John Osipovitch Respondent CASE SUMMARY Nicholas C. Johnson, III, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that Respondent John Osipovitch, his stock broker at Financial Equities, failed to execute a sell order for hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00390 AWARD In the Matter of the Arbitration Between R.C. Harrington Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY Claimant R.C. Harrington, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that his broker William Cox at Prudential-Bache Securities, Inc. now known as Prudential Securities, Inc.,

JVASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward R. Fleischman vs. Name of Respondent Prudential Securities Inc. Arbitration National Association of Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 91-00384 For Claimant: Pro se. For Respondent: Joel Levinson, Esq. in-house counsel.

N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant (s) ) Brian P. & Linda B. Began ) ) Case No. 91-00382 Name of Respcndent (s) ) G.K. Scott & Ccnpany, Inc. ) Paul Gray ) ) For Claimants, Brian & THTIH« aogan ("the Hogans") : Frederick Schrills, Esq. of Holland & Knight. For Respondents, G.K. Soott & Company, Inc. ("G.K. Scott") and Paul Gray ("Gray") : William Isenbe

N.A.S.D. AWARD PUS ! 1C ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name Of ClaiTnant- Alfred J. Balerna Case # vs. 91-00381 Name of Respondents Legg Mason Wood Walker Inc. Eliot Rnhi vs. Name of Ihird- Party Respondent Michael Cerato For Claimant, Alfred J. Balerna: Daniel J. Marphy, Esq. of Gordon & Wise For Respondent, Legg Mason Wood Walker, Inc.: Bryan G. Killian, Esq. of Sherin & L

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Albert M. Schlick, TTEE Claimant vs. CASE 191-00379 AWARD Sam Skurnick Respondent CASE SUMMARY Pro Se Claimant Albert M. Schlick, TTEE, in a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1991, alleged that Respondent Sam Skurnick, an independent broker with an agreement with Prudential Securities, Inc *, ma

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Martin D. Conway and 00-04925 Minneapolis, Minnesota Name of Respondents J.E. Liss & Company, Inc. Jerome E. Liss REPRESENTATION OF PARTIES Martin D. Conway ("Claimant") was represented by Jan Stuurmans, Esq., Minneapolis, Minnesota. J.E. Liss & Company, Inc. ("Respondent J.E, Liss") and Jerome E. Liss ("Respondent Liss") (collectively as "R