In the Matter of the Arbitration Between Names of Claimants Laurence and Ellen Ginsburg Case No. 00-04540 Names of Respondents Salomon Smith Barney, Inc. Michael Logan Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Laurence and Ellen Ginsburg, hereinafter collectively referred to as "Claimants": L. Van Stillman, Esq. of L. Van Stitlman, P.A., Delray Beach, Florida. For Salomon Smith Barney, Inc. ("Smith Barney") and Michael Logan ("

Arbitration - «.A.a.U. AWAkU National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SBJUKITIBS DEALERS NASD Financial Center _ '__ _ ~ 33 Whitehall Street In the Matter of the Aibitration Between Name of Kay Jean frfcNally 90-02895 North. American Investinent Corp. Barbara L. Moran Nafcridge Securities, Inc. Gene Morgan Gene Morgan Financial Anchor National Financial Services* Inc. For Claimant: Dana A. Dona

N.A.S.D, ASSOCIATION CF SHUJKLTIKS DEALERS In the ttstter of the AttxJtraflnri Between E. Yaretell 190-02890 and Maccill Lynch, Pierce, Fenner & Smith, inc. -Respondent and >. Yancteli Responcfents Claimant Mary E. Yandell appeared and was repcssentad by Michael Respondent Merrill Lynch, Pierce, Penner & Snith, Inc, _ ^^ its corporate representative Marie Dutton, and was represented by TOdd A- Zuctoerbced, Esq, ^ . __^j Third Par

N.A.S.D. NKTICNRIi ASSOCIATION OF SfcXJURlTIKS DEALERS In the Matter of the Arbitration Between. Kingsley B. EHingson and Nbnra E. Ellingson and 90-02888 Jerol L. O'Hagan, Pagel, Inc., Equity Securities Trading Company et al Claimants Kingsley B. Ellingson «"** Nbnna E. EHInggcn appeared and were represented by Donald Fraley, Esq. of Wayzata, Minnesota. Respondent Sunnit Investment Corporation was represented by Robert E. Abrams, Esq. of Summit Inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Florence S. Reynolds Claimant AWARD vs. Case #90-02885 Heard by: Rob McLaughlin, Esq. Public Arbitrator Marshall Passman Public Arbitrator Sidney B. Wachtel Industry Arbitrator REPRESENTATION The Claimant was represented by Joseph L. Bianculli, Esq. and the Respondent was represented by Charles R. Mills, Esq. of the law firm of Lord Day & Lo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02879 AWARD In the Matter of the Arbitration Between John L. and Wanda C. Bunker Claimants vs . Bateman Eichler, Hill Richards, Inc. Respondents CASE SUMMARY Pro Se Claimants, John L, and Wanda C. Bunker, in a claim filed with the National Association of Securities Dealers, Inc. on October 16, 1990, alleged that their account executive, Ramona Wood at Bateman Eichler, Hill

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of th p ^Iflimflntg P^Q^. NnmN 3 * 1 " 00-04535 Frank Glosky, William Palmer and Jack Zausa of flip. ]^gpnflHf*f|fg Hiring ^ tfv Chicago, Illinois Daniel Sigfrid and Waterford Financial, Inc. T*F.PTtF.SF.NTATTm Claimants Frank Glosky ("Glosky"), William Palmer ("Palmer"), and Jack Zausa ("Zausa"), hereinafter collectively referred to as C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory McAfee Claimant / - vs. -•' -•- Charles Schwab & Co. Respondent REPRESENTATION OF PARTIES Claimant Gregory McAfee was represented by Benjamin P. Abney, Esq. of Chapel, Riggs, Abney, Neal & Turpen, Tulsa, Oklahoma. Respondent Charles Schwab & Co., Inc. was represented by P. Scott Hathaway, Esq. of Conner & Winters, Tulsa, Oklahom

NATIONAL ASSOCIATION OF"SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eileen Rimmer Claimant vs . George Villasi David Lerner Associates, Inc. Respondents CASE f90-02868 AWARD CASE SUMMARY Pro Se Claimant, Eileen Rimmer, in a claim filed with the National Association of Securities Dealers, Inc. on October 15, 1990, alleged that Respondent George Villasi, her account representative at David Lerner Associate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of f 1 a i mant f s ^ Keith E. Long 90-02867 Name of Respondent(s) Waterhouse Securities Heard before: Name Elliott Finkel Public Claimant represented himself and Philip fcfcElynn represented Waterhouse Securities. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc.