N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald P. Russo 93-04296 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimant Donald P. Russo, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. made an error when it informed him thatin order

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas S. Gubanich 93-04295 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimant Thomas S. Gubanich ("Claimant"): Claimant appeared pro se. For Respondent Gruntal & Co., Inc, ("Respondent"): Emilia M. DeMeo, Esq. of Gruntal & Co., Inc. located New York City, New Yoric. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. and 93-04271 Name of Respondent John C. Reed REPRESENTATION OF PARTIES Claimant, Kemper Securities, Inc. ("Kemper") was represented at the hearing by A. Brad Busscher, Esq., of Kemper Securities, Inc., Chicago, Illinois. Respondent John C. Reed ("Reed") was represented at the hearing by Gregory A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Weinfeld 93-04258 Name of Respondents A.G. Edwards & Sons, Inc. Russeil Sayegh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimant Steven Weinfeld, through his counsel Kenneth C. Gobetz, Esq. of Wichler & Gobetz, P.C., Suffern, NY, alleged that he main

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Z. Newman 93-04251 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1993, Claimant Steven Z. Newman, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services cancelled his order to sell 900 shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlie Matter of the Arbitration Between Name of Claimants Wayne R. and Joan E. Harding, Trustee for the benefit of Wayne R. Harding & Joan E. Harding Trust 93-04210 Name of Respondent Scottsdale Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993, Claimants Wayne & Joan Harding, TTEES, who appeared Pro Se, alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul A. Juergens 93-04209 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney, Inc.) Frank Esposto REPRESENTATION For Claimant Paul A. Juergens ("Claimant"): appeared pro se For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Frank Esposto ("Esposto"): Linda R. Alpert, Associate General Counse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cheyenne VAF Federal Credit Union 93-04208 Name of Respondent F.S.I. Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993, Claimant Cheyenne VAF Federal Credit Union, through its counsel, Michael Reese, Esq. of Wiederspahn, Lummis &Uepas, P.C., Cheyenn

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frances J. and Charles D. Smith 93-04191 Nameof ResDondents Dean Witter Reynolds, Inc. Gregory Reece CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1993, Claimants Frances J. and Charles D. Smith, who appeared Pro Se, alleged that during October, 1987, Respondent Gr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Hughes and Joseph E. Lenahan, IE, Claimants, vs. J,C. Bradford & Company, Respondent. Case Number: 00-03726 Hearing Site; Louisville, Kentucky REPRESENTATION OF PARTIES Claimants, James Hughes ("Hughes'*) and Joseph E. Lenahan, HI ("Lenahan"), nereinafter collectively referred to as " Respondent J. C. Bradford & Company ("Bradford") was represented by Austin Cart