N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Katherine V. & Robert J. Gourley 95-00264 Name of Respondent(s) Chadwick Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimants, Katherine V. and Robert J. Gourley, who appeared Pro Se, alleged that Respondent, Chadwick Securities, Inc., recommen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff Limebeer 95-00262 Name of Respondents Olde Discount Corporation Greg Wiebke CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant Jeff Limebeer ("Claimant"), who appeared Pro Se, alleged that Respondents Oide Discount Corporation ("ODC") and Greg Wiebke ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S. Barron Segar 95-00261 Name of Respondent Gabelli & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995 Claimant S. Barron Segar, who appeared Pro Se, alleged that Respondent Gabelli & Company, Inc., informed him that he was unable to redeem his account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Winifred L. Register 95-00260 Name of Respondent Edward D. Jones & Co. Chris Cunning CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 17, 1995, Claimant, Winifred L. Register ("Register"), who appeared Pro Se, alleged that Respondent Chris Cunning ("Cunning") the sole repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Burton Brooks Name of Respondents Berkeley Securities Corp Stephen C. Floto Israel Cohen 95-00255 © National Association of Securities Dealers. Inc. All Rights Reserved For Claimant, Burton Brooks, ("Brooks"): Stephen C. Sadin, Esq. of McKenna, Store*, Rowe, White & Famig, Chicago, IL. V vV-.r For Respondent Ber

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Susan Toch, Claimant, v. NASD No. 95-243 Smith Barney Shearson and Gary Peterson, Respondents. Representation For Claimant: Pro se, Berkeley, California For Respondents: Ellen Slipp, Esq. of Smith Barney Shearson, New York, New York Case Information Statement of Claim filed: January 17, 1995 Claimant's Submission Agreement signed: January 12

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda VanDyke POA for George W. Saunders 95-00231 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Rusty Clark CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1995, Claimant George Wade Saunders, who appeared Pro Se, alleged that in 1992 he opened an account

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kenneth A. Bradley Gwen A. Bradley Gay Ann Slozat Karen M. Hamilton Robert M. Murray Case No. 00-03792 Name of Respondent PaineWebber, Inc. REPRESENTATION OF PARTIES For Kenneth A. Bradley, Gwen A. Bradley, Gay Ann Slozat ("Slozat"), Karen M. Hamilton ("Hamilton"), and Robert M. Murray ("Murray"), hereinafter collectively re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald H. and Claire E. Yogman 95-00230 Name of Respondents Raymond, James & Associates, Inc. Michael D. Baker REPRESENTATION For Claimants Ronald H. and Claire E. Yogman ("the Yogmans"): Eric E. Ludin, Esq. of Piper & Ludin, St. Petersburg, FL. For Respondents, Raymond James Associates, Inc. ("Raymond James") and Michael

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants 95-00229 Name of Respondents Lew Lieberbaum & Co., Inc. Barry S. Rabkin CASE SUMMARY In a claim Hied with the National Association of Securities Dealers, Inc. on January 16, 1995, Claimant, Jeffrey Orr and Nicola McFaull, who appeared Pro Se ? alleged that Respondents, Lew Lieberbaum & Co., Inc., and Barry S. Rabkin fe