N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mariain Gulezian 93-02542 Name of Respondents Smith Barney Harris Upham & Co., Inc. Joseph Orazio Giunta CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimant Mariam Gulezian, who appeared Pro Se, alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henri Lipmanowicz, (Claimant) vs. Janssen-Meyers Associates, L.P. d/b/a Janssen/Meyers Associates, L.P. and Roan-Meyers Associates, L.P. d/b/a Roan/Meyers Associates, L.P., (Respondents) vs. Jeffrey Hodde (Third-Party Respondent) Case Number: 00-03707 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Henri Lipmanowicz, hereinafter referred to as "Claimant": Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeanne Lee and Jeffrey C. Mauk 93-02541 Name of Respondents Hibbard Brown & Co., Inc. Thomas Corey Kipp CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 29, 1993, Claimants Jeanne Lee and Jeffrey C. Mauk, who appeared Pro Se, alleged that Respondents Thomas Corey Kipp and Hibb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Florence N. Silverstein 93-02539 Name of Respondents Prudential Securities, Inc. Carl C. Roba CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on June 28, 1993, Claimant Florence N. Silverstein, by and through her representative Paul N. Young, alleged that she maintained accounts with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mater of the Arbitration Between Claimants Dr. Marc T. Edwards and Cynthia Edwards vs. Case # 93-02530 Respondents Scott Landow and Bear Stearns & Co. REPRESENTATION For Claimant: Edward W. Russey, m, Esq. of Investors Arbitration Services, Inc. located in Woodland Hills, California. For Respondent: James M. Hubbert, Esq. of Bear Stearns and Company, New York, New York. CAS

Jfe NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Amy Lou Gardner 1 .; _'-'; . , and , 93-02528 Name of Respondents Robin Payne Travelers Equity Sales, Inc. REPIffiSENTATIQN OF PARTIES Amy Lou Gardner ("Claimant") Svas represented by Nicholas L. Gardner, Houston, Texas. quky Safes, Inc. ("Respondent Travelers'7^ Unger, "Esq., of Tenzer, Greenfalatt, Falld

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jay Stuart Radetsky and 93-02526 Name of Respondents Shearson Lehman Hutton, Inc. and Russell Green REPRESENTATION OF PARTIES Jay Stuart Radetsky ("Claimant") was represented by Anthony J. Kohler, Esq., Denver, Colorado. Shearson Lehman Hutton, Inc. and Russell Green ("Respondents") were represented by Alejandro S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants James L. Vancina and Joyce E. Vancina and 93-02511 Name of Respondents Chatfield Dean Co.. Inc. and Steven Walsh REPRESENTATION OF PARTIES James L. Vancina and Joyce E. Vancina ("Claimants") were represented by Leo I. George, Esq., Washington, D.C. Chatfield Dean Co., Inc. ("Chatfield 11 ) was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig Fagerness 93-02488 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Jeffrey Ament CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1993, Claimant Craig Fagerness, who appeared Pro Se, alleged that when he opened his account with Respondent Jeffrey Ament l

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lynn Christina Reed vs. Award #93-02479 Name of Respondents Hanifen, Imhoff Inc. Chatfield Dean & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 24, 1993, Claimant Lynn Christina Reed who appeared Pro-Se, alleged that Respondents Chatfield Dean & Co.,