N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon A. Martin 93-04432 Name of Respondent Franklin-Lord Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimant Leon A. Martin, who appeared Pro Se, alleged that Respondent firm, Franklin-Lord, Inc. placed an order for 1,000 shares of Wholesome and Hearty Foods

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eliezer Burko and L'Tanya M. Ross 93-04407 Name of Respondents Chatfield Dean & Co., Inc. Sidney William Lasley David Robert Guilford CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1993, Claimants Eliezer Burko and L'Tanya M. Ross, who appeared Pro Se, alleged that Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kira Greene 93-04397 Name of Respondents Alex Brown & Sons Steve Gritzan REPRESENTATION For Claimant Kira Greene ("Claimant"): appeared pro se For Respondent Alex Brown & Sons ("Alex Brown"): Robert E. Patterson, Esq., of Alex Brown & Sons, Baltimore, Maryland. For Respondent, Steve Gritzan ("Gritzan"): pro se, did not

In the N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAUSRS r of the Arbitration Between Name of Claimant V; Greed 93^4353 1 tame, of A.G. wards &| Sons, Inc. O\SE SUMMARY claim oa Ina Claimao & SODS, shares o broker further there edstetf would Q ily contended St. Loui i also should fifed wjtth the National Association of Securities Dealers, Inc. on Octbber 21, 1993,

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the Matter of the Arbitration Between RICHARD JOHNSON NASD Arbitration Claimant No. 93-04347 a,;:.'< . .;: • .,.,.- V. ' . ; . . . . .. -- - • - • • ' .^...;V •.- • .V* Respondent Representation For Claimant: Richard Johnson of Manzanita, Oregon For Respondent: Amr I. Elgindy of Colleyville, Texas onioc Case Information :ue;v-.:-

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ;: j . : * . ' ' ' . • -I Name of Claimant Jonathan Maclain Scott Order vs. #93-04331 Name of Respondents National Financial Services Corp. Chicago Board of Options Exchange , . ,. : L , REPRESENTATIQ1V Claimant, Jonathan Maclain Scott ("Claimant"), represented himself at the hearing. For Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Connie Galpin ." ! 7 " v ""'' 93-04320 Narnp of Respondents Berthel Fisher & Company Financial Services Inc. Craig Halfpop In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Gaimant Connie Galpin, through her counsel, Martin Petersen, Esq. of the firm Klinkcnhorg, t $mann

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mohammed A. Shariff 93-04315 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Claimant Mohammed A. Shariff, who appeared Pro Se, alleged that Respondent Thomas James & Associates, Inc., through its registered representat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne S. and Curtis D. Lee, JTWROS £3-04310 Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Claimants Curtis D. & Joanne S. Lee, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. misrepre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald A. Brainard, Claimant 93-04306 v. Gruntal & Co., Inc. Douglas Sherman, Respondents ;...-. REPRESENTATION OP PARTIES Mark W. Nichols, Esq., of Nichols, Wolff & Ledbetter, Little Rock, Arkansas, represented Claimant Donald A. Brainard ("Claimant"). Harry Frisch, Esq., Counsel for Gruntal & Co., Inc., represented Respondents, Gr