moipi NJLS.D. ANARD NKnCNRL ASSOCZmON OF SEZIURITIES DEALERS In the lyfetter cf the Between Dean Hitter Steven Nboc , Inc. 90-03329 6 For Claiinant: Michael J. Abbott of Jiones, Bell, Simpson & Abbott For Rsepondentx In Pro Se Statenant of Clain filads Claimant's Subaiaaion 23r 1990 aigpned cnx Novenber 12, 1990 of ^nawari filwl by Raapondant, ont FebEuaiy 11, 1991 atlpnlataad to the juriadicticn of tha panel at the hearing

HJLS.D. MOD ^ i I n I 3 wifPiriBM-. a«Hiii'UfT|f»i OF «miiiiTiHK THrrWfr m the Hhti-pr of tbe AtbLtratLcn B. daioBDit 90-03453 PrudBatial-BBC±e Secairltles, I^. and Good B. Bedfiocdf Jr. dainant Maorgaret E. Tauher appeared and vas represented by Counsel, H. William Fcsc, Esq. Bpqyrrtmt Prudential-Bacbe Securities, Inc. appeared by and through its Goxpozate representative and MBS represented by Ocunsel, George Paul, Esq. Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In ther Matter of the Arbitration Between W. Mark and Velma P. Walker Claimants Tom Kokerhans and Gary Leavitt Respondents > CASE* "90-03439 AWARD CASE SUMMARY Pro Se Claimants, W. Mark and Velnui P. Walker, in a claim.filed, with the National Association of Securities Dealers; Hici on- December 3, 1990, alleged that Respondent Tom Kockerhans* while employed at G.L. Leavitt Financial Grou

']w\a 0 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond E. Blank Claimant CASE #90-03378 - NKKBH Merrill Lynch, Pierce, Fenner Smith, Inc. : Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 29, 1990, Claimant, Raymond E. Blank, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. held a

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of Arbitration Between George H. Bowen Claimant CASE 1190-03363 AWARD vs . Kathryn M. Richardson w Re^spojident _ _ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 27, 1990, Claimant George H. Bowen through his counsel, Carl A. Schmitt Esq. of Frank Schmitt and Frank, PA, NorthBay Village, FL alleged that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; Lawrence Malkin Claimant vs. CASE #90-03310 AWARD Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY Lawrence Malkin, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on November 21, 1990, alleged that Respondent was negligent in the management of his IRA account and recommended unsuitable^ speculative bank pape

N.A.S.D. AWARD NMTCMVL ASSOCIATICN OF SECURITIES DEAI^RS In the Ifatter of the Arbitration Between Nan« nf riaimant/s^ Wedbush Morgan Securities, Inc. 90-03306 Terry R. McGownn For Clairrant! Ms. IVtaie Eaton, Carpiiance Officer For Respondent; Kevin C. Sewell, Esq. aa-iBBDBKBfi statement of Claim filed: November 21, 1990 Clairrant'3 Siitmission Agreemant signed cn: Cctofcer i, 1990 Statement cf Answer filed by Reepondent> on: July 8, 1991

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eddie L. Gang Claimant vs . E,F. Hutton and Company, Inc. n/k/a Shearson Lehman Brothers, Inc. and Edwin L. Katz Respondents Case #90^03305 ANAKD: CASE SUMMARY Eddie L. Gang, Pro Se Claimant, in a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1990, alleged that his broker at E.F. Hutton, Edwin L. Katz, c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ' In the Matter of the Arbitration Between ; Lawrence L. Larson Claimant vs . Merrill Lynch, Pierce, Fenner & Smith, Incorporation Respondent CASE# 90-03304 AWARD CASE SUMMARY Pro Se Claimant, Lawrence L. Larson, in a claim filed with the National Association of Securities Dealers, Inc. on November 21, 1990, alleged that the Richmond, Virginia office of Merrill Lynch, Pierce, Fenner

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04533 James P. O'Brien, claimant vs. Janus, respondent. ATTORNEYS: Claimant appeared pro se, Loveland, OH. For Respondent appeared Andrew R. Shoemaker, Esq., of the firm Hogan & Hartson, LLP, Boulder, OH. DATE FILED: August 2, 2002 CASE SUMMARY: Claimant alleged that respondent failed to execute a verbal order at his request. The order was not executed until claimant provided written