NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. CASE #91*00114 AWARD In the Matter of the Arbitration Between Lee S. Brucks Claimant vs. Melvin Baer, Robert Wyman and Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. Respondents CASE SUMMARY Pro Se Claimant Lee S. Brucks, in a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1991, alleged that Respondents misrepresented

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00108 AWARD In the Matter cf the Arbitration Between Joseph H. Fulkerson Claimant vs. Brcwn Se Company Securities Corporation Respondent CASE SUMMARY In a claim filed with" the National Association of Securities Dealers, Inc. on January 8, 1991, Claimant, Joseph H. Fulkerson, who appeared Pro Se, alleged that Respondent Brown & Company Securities Corporation failed to follow C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant vs. : CASE Mark Landeene Respondent CASE SUMMARY Oppenheimer & Co. , Inc. by it' s counsel, Mark S. Goldstein, Wexler & Burkhart, P.C. r Garden City, NY, in a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1991, alleged that Respondent Mark Landeene has failed to satisfy a

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in che Matter of the Arbitration Between Melvin E r . He ins Claimant CASK #91-00102 vs. AWARD First Interstate Discount Brokerage, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1991, Claimant, Melvin E. Heins, who appeared Pro Se, alleged that Respondent First Interstate Discount Brokerage, Inc. t

N.A.S.D. ASSOCIATION OF SBCDRITIES DEALER In the Matter of the Arbitration Between Name of Mary A. Wycfcof f vs. 91-00101 Mame of Respondents Shearson Lehman Hut ton, Inc. Don Rittentouse For dainant: Mary A. Wycfcoff, 4269 Misty Lane, Oceanside, California 92056- 4713. For Respondents: Susan K. Pitre, Esq., Keesal, Young & Logan, 310 Golden Shore, Catalina Landing, Long Beach p California 90801-1730. Statement of ma-im filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hitter o£ the Arbitration Betweea Bruce Carradine vs. NBSD Arbitration Nb. 91-00099 Bafaman Eichler, Hill Richards, Inc. William J. Jones For Claimant: David Greenberg, Esq. FOOT Reepcodentst James Bums, Esq. **** Karen .Tnhn< ir«-fV']frKftn , Esq. of Brobeck, Fhleger and Harrison Stataneat of f*i»*™ filed: January 8, 1991 Revised Statanent of daim filed: January 25, 1991

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mike and Kevin Pfluke Claimant vs. CASE #91-00091 AWARD Lee w. Farrow, Jr. Parsons Securities, Inc. Respondents CASE SUMMARY Mike and Kevin Pfluke, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1991, alleged that Respondent, Lee W. Farrow at Parsons Securities, Inc. misrepresented the value

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fra -ss A. Rogers No. 91-00084 Name of Respondents Shearson Lehman Hutton,~'inc. E.F. Hutton, Inc. Robert Posa REPRESENTATION OF PARTIES For Claimant: Francea A. Rogers appeared pro se. For Respondent: Andrew R. Harvin of Doyle, Reed, Restrepo, Harvin & Robbins CASE INFORMATION Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jfannie Neri Name of Respondents Stifel, Nicolaus & Company, Inc. Charles W. Schweizer Sue Ellen Jef feris Valentine Steven Jef feris 91-00082 For Claimant: Janes G. DiStefano, Esq. For all Respondents: C. Wayne Priirra, Esq. and Ellen E. Bonacorsi f Esq. of Coburn, Croft & Putzell. Statement of Claim filed: January 8, 1991.

Arbitration ® National Association of . a joaKon Securities Dealers, Inc. W.A.fa.D. AWAK1J NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Ruth Broun and Ann Harris 91-00081 Name of Respondents H.L. Michaels Securities/ Inc. Reward L. Michaels Mitchell Stoop For Claimant: Arthur Fisch, Esq. of