N.A.S n AWARD NATTONAL ASSOCTATTON OF SECIJRITIFS DFAT .F.R.S TNC In the matter of the Arbitration Between Name of Claimant Marie E. Nelson, Conservator of the Estate of Wanda A. Wilson; Albert 0. Steindorf; and Sondra G. Steindorf © National Association of Securities Dealers, Inc, AH Rights Resen-ed Name of Respondent Smith Barney Inc. Kerrigan Weber REPRESENTATION NASD Arbitration No.94-03888 For Claimants: Philip M.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04584 Thomas A. Linskens and Sharon Linskens, claimants vs. Russo Securities, Inc. and William G. Brown, respondents. ATTORNEYS: Claimants appeared pro se through Thomas A. Linskens, East Troy, WI. Respondent Russo Securities, Inc., appeared through its in-house counsel, Staten Island, NY. For Respondent William G. Brown appeared Jerome Olitt of Arbitration & Mediation Specialists, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants David N. and Sandra F. Maynard Names of Restwndents Bear Steams & Company James Joseph Walsh 94-04231 REPRESENTATION For Claimants, David N. Maynard and Sandra F. Maynard ("the Maynards"): pro se. For Respondents, Bear, Steams & Co., Inc. ("Bear Steams") and James J. Walsh ("Walsh"): Marcy J. Levine, Esq. of Morgan, Lewis &

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimantrs') Prudential Securities, Inc. V. Arbitration No. 94-04439 Name of Respondentfs^ Orange County Insurance Services, Inc. Richard Bumstein REPRESENTATION For Claimant: Richard L. Piatt, Esq., Prudential Securities, Inc., Newport Beach, Califomia. For Respondent: Richard Bumstein, Trabuco Canyon, Califomia. CASE INFORMATTON

NASD Regulation. Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Fred Gordon Case Number 94-04964 Name of Respondents Smith Bamey, Inc., f/k/a Smith Bamey Shearson, Inc. and Alan Login REPRESENTATION For Claimant Fred Gordon ("Gordon"): Richard D. Nadel, Esq. of Nadel Associates P.A., Palm Beach Gardens, FL. For Respondents Smith Bamey, Inc. f/k/a Smith Bamey Shearson, Inc, ("SSr) and Alan Login ("Login"): Vict

NASD AWARD I NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and NASD Case Number: 94-05045 Name of Resuondent National Association of Thomas R. Potter All Riphis Reserved REPRESENTATION OF PARTIES Claimant PaineWebber, Inc. ("Claimanf or "PaineWebber") was represented by Alice K. Jump, Esq. of PaineWebber, Inc. located in Weehawken, New Jersey. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack Luchs 94-05 1 58 Name of ResDondent(s) Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1994, Claimant, Jack Luchs who appeared Pro Se, alleged that Respondent, Olde Discount Corporation recommended that Claimant purchase First Trust, and Empire Tr

Qbl^lii'i AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Burleigh Gene Denny and Mary Ann Denny, Jointly and as Trustees for their Separate Trusts, Claimants, V. 94-00071 Jarrell Antweil, and Merrill, Lynch, Pierce, Fenner & Smith, Respondents. REPRESENTATION OF PARTIES Claimants Burleigh Gene Denny and Mary Ann Denny, Jointly and as Trustees for their Separate Trusts ("Claimants") wer

N.A.S.D. AWARD y^-^ NATIONAL ASSOCIATION OF SECURITIES DEALERS h the Matter of the Arbitration Between Name of ClaimantCsl Donald and Dorothy Levine Revocable Living Trusts, Dorothy Levine & Donald Levine, trustees 92-03239 Name of Respondent(s) Lowry Financial Services Corporation John R. Hunter Bruce E. Winter REPRESENTATION For Claimant, Dorothy Levine Revocable Trust et al, (the "Trust"), Russell L. Forkey, Esq. cf Deerfield Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Estate of Ida Weiss, Arthur and Sheldon Weiss as Personal Representatives Arthur Weiss, individually Sheldon Weiss, individually 92-03207 Name of Respondents Prudential-Bathe Securities Inc. Dennis Grant REPRESENTATION For Claimant, the Estate of Ida Weiss ("the Estate"), Arthur Weiss ("A. Weiss"), individually and S