In the Matter of the Arbitration Between of Claimant MAR 9 c Shea HuttCQf Inc. 90-02324 Phillips V. ilidated with In the Matter of the Arbitration Between time o 90-02324 Daniel Phillips Hattoa, IDC. Poor daimant Jeny 90-02324 Hut ton. Inc. and Third-Party Respondent Daniel , Esq. of Neal Gerber & I FOr ^^tf^^^^rlrnt/fV^Tntp^^^a^^»"*- arin Tliird- Party Claimant Daniel Phillips: Denis Grande, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George E. Spencer, Jr. 90-02323 of Resondents Financial Clearing & Services, Inc. Maurice Joseph Lyons For Claimant: Clinton R. Black, IV, Esq. of the law firm of Jtoore, Libowitz & Thonas. For Respondents: Financial Clearing & Services, Inc. was represented by David A, Goldman Esq. of the law Firm of Wexler & Burkhart,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I."; the Matter "of the Arbitration Between Pierce E. Parker Claimant vs . Dean witter Reynolds, Inc. and Joseph Nelson Respondents Case #90-02322 AWARD CASE SUMMARY Pierce E, Parker, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondent Joseph H. Nelson, a broker with Dean Witter Reynolds, Inc., churned his account t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Q£ RI anlr*inyahH p 90-02320 Name of Respondent Brad Katz Claimant appeared pro se. Respondent did not appear. CASE Statement of n^m filed: August 21, 1990. Amended Statement of Ha-im filed July 16, 1991. Claimant's Submission Agreement signed on July 11, 1990. Respondent did not answer or file a Submission Agreement. hearing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patrick 0. Cronan 90-02318 Name of Respondents L. F. Thompson & Co., Timothy Robinson, and Thrifty Tel, Inc. REPRESENTATION OP PARTIES For Claimants at the hearing: Pro Se. For Respondents at the hearing: no respondents appeared. CASE INFORMATION Statement of Claim filed: August 20, 1990. Claimants' Submission A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Pase Numhpr- 00-04847 First Union Securities, Inc. Name?; of the. George Cannan, Sr., Hector J. Garcia, Baldridge Venture, Inc., Harris Dempsey BalLow, and Texas Investment Corporation Hearing Site: Washington, D.C. PF.PpflSy 1 fSTf^TTON OF Claimant, First Union Securities, Inc. ("First Union"), hereinafter collectively referred

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC- In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. CASE #90-02314 AWARD Lawrence E. Wood Juanita D. Wood Respondents CASE SUMMARY PaineWebber, Inc., represented by its attorney Joseph. F.- Generelli in Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondents have failed to pay to the

N.A.S.D. AWARD ASSOCIATION 0? SECURITIES DEALERS n the Matter of the Arbitration Between c-f Claimant?si Abe Shirazi 90-02313 Nans of Respondent(s) Terry Hughes Mark Vandusen Brice Boucher Don Oahmke r.Aa-.-ljjp^ Claimant Abe Shirazi was represented by Joel Funk p Esq. of Overton & is r kes.. P.C, of Englewood, Co. ndent Terry Hughes appeared Pro se. a ~~ ' Kespcndent Itfark Van Deusen was represented

NATIONAL ASSOCIATION CF SECURITIES, -NC. In the Matter cf the Arbitration Between Painevvebber, Inc. Claimant ; • A W A R D vs. } i Jay Mays } Respondent } ] ) CASE SUMMARY Claimant, PaineWebber, Inc., by and through its attorney Joseph 7. Generelli, filed a Statement of Claim with the National Association of Securities Dealers, Inc. on August 21, 1990. Claimant's statement of Claim alleged that Respondent, Jay Mays, has

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter F. Apanovitch Claimant vs . Shearson Lehman Hutton, Inc. Howard Clark Respondents CASE #90-02308 AWARD CASE SUMMARY Peter F. Apanovitch, in a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1990, alleged that Respondents failed to deliver fifteen (15) CMO interest paying bonds after payment and n