N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter .of the Arbitration Between Name of Claimants Roy W. & Pauline M. Orr 93-02309 Name of Respondents Olde Discount Corporation Steve Maehl Mary Graff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Roy & Pauline Orr, who appeared Pro Se, alleged that on February 22, 1993 Respondent Olde Discount Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: QO-03702 Sidney Paul Griffin, Jr., claimant vs. John Parker and Suntrust Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Altamonte, FL. For Respondents appeared Richard H. Bergman, Esq., of the firm Bergman and Jacobs, P.A., Miami, FL. DATE FILED: August 24, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a stop loss order in his account c

Corrected Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Name of the Claimant Case Number: 00-00376 Banco Disa, S.A. Names of the Respondents Hearing Site: Boca Raton, Florida CIBC World Markets Corp. Lehman Brothers, Inc. Jamie Fals Gustavo Klimberg Julio Alejandro Guemes Juan A. Tapia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Banco Disa, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. Bumb & Louise M. Bumb, Jtwros Award vs. #93-02308 Name of Respondents Dean Witter Reynolds Inc. Thomas Hess Forbes REPRESENTATION Claimant represented himself at the hearing. For Respondents: Janet Epstein, Esq. of Dean Witter Reynolds, Inc., located in New York, New York. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Perry & Iris Rootstein Name of Respondent Prudential Securities, Inc. 93-02305 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Perry & Iris Rootstein, who appeared Pro Se, alleged that on December 14, 1992, they purchased 500 shares of Symantec Corporation, th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack L. Conlee and Darien Conlee; Palmas Tropicales, S.A. 93-02304 Name of Respondents Oppenheimer & Co., Inc.; Phillip Connor, III; Anastasio Carayanis REPRESENTATION For Claimants: Jack L. Conlee, Darien Conlee, and Palmas Tropicales, S.A. ("Conlee") were represented by Donald M. Feferman, Esq. of Feferman & Rehler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUTCTTTFS DFAI FT?S INC. In the matter of the Arbitration Between Name of Claimant Myrna Stirm 01 Respondents Dean Witter Reynolds, Inc. Gregory Joseph Stawicki NASD Arbitration No. 93-2303 REPRESENTATION For Claimant: In Pro Se For Respondent: Dean Winer Reynolds, Inc. - Janet T. Epstein, Esq. For Respondent: Gregory J. Stawicki - Daniel P. Costa - Diepenbrock & Costa - Sacramento, Califo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howell L. and Patricia Jean Heaid 93-02300 Name of Respondent Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Howell and-Patricia Jean Heald, who appeared Pro Se, alleged that Respondent Shea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Frank and Doris N. Refido, No. 93-02292 Individually and as Trustees of the Frank and D. N. Refalo Family Trust v. Name of Respondents Diversified Securities, Inc. IDS Financial Services. Inc. William M. Nufer REPRESENTATION For Claimant: Jeffrey Louis Gaffhey, Esq., Carlsbad, California For R

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martha Merritt 93-02289 Name of Respondents Paulson Investment Company, Inc. Easton Blake CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1993, Claimant Martha Merritt, through her attorney, Cynthia D. DiBartolo, Esq., alleged that Respondent Easton Blake misrepresented the