N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roland R. Reming and Darlene M. Fleming 93-00985 Name of Respondents Kennedy, Cabot & Company Gruntal & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 15 1993, Claimants Roland and Darlene M. Fleming who appeared pro se, alleged that Respondents Kennedy, Cabot & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam Adler 93-00977 Aleksandr Shvarts Leonard M. Kamerman American Bond Group, Inc. REPRESENTATION For Claimant Sam Adler ("Claimant"): Kenneth Choy, Esq., a sole practitioner. Respondents American Bond Group, Inc. ("ABG"), Leonard Kamerman ("Kamerman"), and Aleksandr Shvarts ("Shvarts") were not represented by counsel n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Anthony James Simoneili vs. Case # 93-00964 Name of Respondents Invest Financial Corporation Lisa Maria Booth Metric Partners Growth Suite REPRESENTATION Anthony James Simoneili ("Claimant") was not represented by counsel. For Respondents, Invest Financial Corporation ("IFC") and Lisa Maria Booth ("Booth"), Eugene B. Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dennis P. and Carolyn A. Nicholas 93-00959 Name of Respondents Offerman & Co., Inc. Terry Laymon REPRESENTATION For Claimants, Dennis P. and Carolyn A. Nicholas: Mr. and Mrs. Offerman appeared pro-se at the hearing. For Respondent, Offerman & Co., Inc.: Patricia S. Bartholomew, Esq. of Offerman & Co.. Inc. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PUBLIC Name of Claimant^ Dong Uk Lee 93-00954 Name of Resuondent(s) Bear Steams & Company, Inc. Oppenheimer & Co., Inc. v. Patrick M. Riley REPRESENTATION For Claimant Dong Uk Lee: Jonathan M. Goidel, Esq. of the law firm of Goidel and Siegel, New York, NY. For Respondent Bear Stearns and Company, Inc.: William C. Mallery, Esq., in-

N.A.SJ). AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibiuation Between Namtgf Chrinrnfla SamMaywood, DawnMaywood AWARD vs. NASD £93-949 American Bond Group, Inc., James John Mdntelcone, Ateksindr Shvuts For Claimants: Sam Maywood of La Jofla, Cafifomia. For Respondents American Bond 61019, !"*• and AWoadr Snvaits: A-ShvaitsofNew Yak, NcwYort For Retpondeot Xnoes J. Moctdcaac: Junes J. MonttsiDonc of New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-00947 Name of Respondent Anthony E. Terrano CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 12, 1993, Claimant Prudential Securities, Inc., by and through their counsel David L. Becker, Esq. of Kutak Rock, New York, NY, alleged that on or about June

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Lingsrh Family Trust Edwin & Ann T.ingsch. Trustees NASD Arbitration No. 93-00941 nf Respondents Gruntal & Co., Inc. Scott R. Udine Lyle Gary Frank Napolitano Tom Connell REPRESENTATION For Claimant: Richard Sacks - Investors Recovery Services For Respondents: W. Reece Bader, Esq. - Orrick Herrington &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Clfljmatif g Gertrude R. and Daniel M. Krauss 93-00938 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Kerry R. Truckly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1993, Claimants Daniel M. and Gertrude R. Krauss, who appeared Pro Se, alleged that Claimant

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-03587 William and Eula B. Lewis i Names of the Respondents Hearing Site: New Orleans, LA Lincoln Financial Advisors Corporation Gregory B. JD'Quin Charles A. Prince ! REPRESENTATION OF PARTIES I ^=^=r=^m^^^^^m^^B^=c==^=g For William! and Eula B. Lewis, hereinafter collectively referred to as "Claimants": Wayne Milnfer, Esq., Jackson, MS and Er