N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant.fsl Rcmana Valina 90-02392 Name of Respondent^ si Dain Bosworth Incorporated Heard before: Name William S. Glickfield, Esq. Public/Chairman Claimant, Romana Valina T appeared in pro se. Respondent r Dain Bosworth Incorporated was represented by Ms. Cynthia Cheney. This natter was initiated by a State

N.A.S.D. AWARD ' :nw l 2199S NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s} George A. Sloan, Individually and as Executor of the Estate of Vivian S. Marshall 90-02389 Name of Respondent^ Robert C. Allison Jr. Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: George A. Sloan, Individually and as Executor of the Estate of Vivian S. Marshall was represented by Charles

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS - In the Matter of the Arbitration Between Name of ClaiTnani- Eugene Metzger, Esq. 90-02386 of Resondents Dean Witter Reynolds, Inc. James R. Msintire Heard before: Stephen E. Crable, Esq. Public Arbitrator Edgar T. Bellinger, Esq. Public Arbitrator Mr. Bryon P. Fusini Industry Arbitrator Claimant, Eugene J. Metzger, represented himself in the arbitration. Respondents, Dea

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name QJ Arbitration National Association of Securities Ostlers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 K. Wilson Name of Restpondents Tucker Anthony Incorporated William D. Lackey 90-02384 For Claimant &*en K, Wilson ("Claimant"): John R. Gamm, a sole practitioner. For Respondents Tu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohammad Bagherabadi, Claimant v. Providential Securities, Inc. and Henry D. Fahman, Respondents Case Number: 00-04853 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Mohammad Bagherabadi: For Respondent Providential Securities, Inc. For Respondent Henry D. Fahman: Albert J. Rasch, Esq. Albert J. Rasch & Assoc. Costa Mesa, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Brokerage Services, Inc., (Claimant) vs. Lawrence Michael Shender, (Respondent) Case Number: 00-00499 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant First Union Brokerage Services, Inc., hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. Respondent Lawrence Michael Shender, hereinafter referred to as "Re

.VATIINAL ASSOCIATION ECURITIES DEALER INC. ne Arc i _ ra t i Mary Nancy Ross vs . Ron Bauer aimant: Resondent CASE #90-02380 AWARD •CASE SUMMARY In a claim filed with "he National Association of Securities dealers, Inc. on August 28, 1990, Claimant, Mary Nancy Ross, who appeared Pro 3e, alleged that Respondent Ron Bauer, while employed by Tri -Bradley Investments , solicited her to purchase penny stock

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER .. s f ' In the Matter of the Arbitration Between jj -|| i Mama of PJ aimant-.f s \ j George Little and Middle Management, Inc. of Respondent t s Rauschar Pierce Refsnes r Inc. and James W. Kenney REPRESEMTATIQN OF PARTIES Claimants George Little and Middle Management , Inc. were represented by Thomas C. Barrow, Esq. o f Godwin, Carlton & Maxwell, Dallas, Te

Arbitration National Association of a n aunnn Securities Dealers, Inc. N.A.S.D. AWARD NASD Financ j a | Center ^^ 33 Whitehall Street NATIONAL ASSOCIATION OP SECURITIES DEfiLERS New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Irna Petersen 90-02373 Name of First Investors Corporatioa For Claimant: Joseph Matticola, Executor of the Estate of Irma Petersen* For Respondent; Lis

OF ( ':53 FROM NftSD-flRBITRATlON-CNICflGD TO 141427166281 P.02 tt.A-S.D. A5SQCXKTICN OF SHCOKITIBS In tte Matter of the Attaitratlon aatwan K&ctexd ami itoncf mate and 90-02371 Bartz and lacry Petsn Claimants Richard and Mangy ffiate *EpMnrl pro se Dennis Bartz *og ropumiiUii by Ttery F. Pegpoid, Gftq* of Vtandal ancl Oentwr, Mmtteon y Wisconsin* nnijiiMliiii larry twaers a^inmul poo In a St&bemt of r1 *im filM with tto