N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert P. and Shirley L. Moehring 93-02288 Name of Respondent Adams Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1993, Claimants Robert P. and Shirley L. Moehring, who appeared Pro Se, alleged that they had a stock account with a company called Respondent A

N.A.S.D. AWARD • - NATIONAL ASSOCIATION OF SECURITIES DEALERS ir - --- : - In the Matter of the Arbitration Between Name nf Robert M. and Alice S. Paulson vs. NASD #93-2287 f Resondents \Vestmark Securities Corp. and Catto Capital Group, Inc. For Claimant: Robert Paulson, pro se For Respondent Westmark Securities: Ronald Catto For Respondent Catto Capital: Did not appear or submit to jurisdiction because not NASD memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. CVC. CASE: 00-03701 Jeffrey S. Plotkin, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Patrick J Riordan, Respondents. ATTORNEYS: Claimant, Jeffrey S. Plotkin ("Claimant"), appeared Pro Se., Austin, TX. For Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. and Patrick J. Riordan, ("Respondents") appeared in-house-counsel Bryan I. Reyhani, Esq., New York, NY. DATE FILED: August 8

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert B. & Doris M. Bunker 93-02274 f Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 8, 1993, Claimants Robert B. & Doris M. Banker, who appeared Pro Se, alleged that Respondent. Olde Discount Corporation was negligent in handling

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William A. Meriino 93-02269 Name of Respondent REPRESENTATION For Claimant William Meriino ("Claimant"): Stephen M, Robinson, Attorney at Law. For Respondent William Kent ("Respondent"): appeared pro se. CASE INFORMATION Statement of Claim filed: June 7, 1993 Claimant's Submission Agreement signed on: May 25, 1993 J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Claimants Glen and Evelyn Gendloff vs. Award # #93-02261 Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and David M. Roberge, REPRESENTATION For Claimant: Anthony V. Trogan, Jr. of Weisam, Trogan, Young & Schloss, P.C. For Respondents: Samuel A. Turvey of Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE INFORMATION Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants: Herman L. and Lilian A. Meckler 93-02247 Name of Respondents: James Cashman Mitchell Randolph Kerschner Gabriele, Hueglin & Cashman Inc. REPRESENTATION Claimants, Herman L. Meckler and Lilian A. Meckler ("the Mecklers") were pro se. For Respondents James Cashman ("Cashman"), Mitchell R. Kerschner ("Kerschner 1

NASD Arbitration No. 93-02233 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTJRTTTEg n^&T.mS . INC. In the matter of the Arbitration Between Name nf Claimant (si- Roger Presburger Name of Respondent (s) Clayton Securities Services, Inc. REPRESENTATION For Claimant: Roger Presburger, Calabasas, California For Respondent Clayton Securities Services, Inc. : Mark Diemer, Clayton Securities Services, Inc., Clayton, Missouri For Respondent Smy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Jo Gates Givens 93-02231 Name of Respondent Bobby Carl Locklier, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1993, Claimant Betty Jo Gates Givens, who appeared Pro Se, alleged that Respondent Bobby Locklier, Jr., while employed by RAF Financial Corp., contacted Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eugene K and Ruth M. Ottersen 93-02227 Name of Respondents Smith Barney Shearson, Inc. f/k/a Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1993, Claimants Eugene & Ruth Ottersen, who appeared Pro Se, alleged that Respondent Smith Barney She