N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant Mildred Burgdorf 94-02849 Name of Respondent Edward D. Jones & Co. Gary Van Schwendlnger CASB flUMIMY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1994, Claimant, Mildred Burgdorf ("Burgdorf*'), who appeared Pro Se, alleged that to Respondents Edward D. Jones & Co. ("Edward D. J

UNIFORM SUBMISSION AGREEMENT NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arhiiration Between Richard E. and Dorine M. Jacobs 94-02848 The Equitable Life Assurance Society Equitable Variable Life Insurance Compny Miguel A. Ouz 1. The undersigned parties hereby submit the present matter in controversy, as set forth in the attached statement of claim, answers, cross claims and all related counterclaims and/or third party claims

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Diane Altman 94-02842 Name of Respondents Gnintal & Co., Inc. Rosemary Cardinaie CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1994, Clainiant Diane Altman, who appeared pro se, allied that Respondents Gnintal A Co., Inc. ("Grumal") and Rosemary Cardinaie ("Caidinale"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Woodward, TTEE, of the Ruth S. Woodward Revocable Trust, Claimant v. Linsco/Private Ledger Corp. and Gregory P. Fortner, Respondents Case Number: 01-05749 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondents: Jeffrey K. Compton, Esq. Liner Yankele

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Eietween Name of Claimant Vernon I.. Rlliot, HI 94-02841 Name of Respondent Kerry Culleton In a case filed with the National Assocaition of Securities Dealers Regulation. Inc. on July 24, MJ'M, claimant Vernon L. Elliot III ("claimant") who appeared Pro .Se, alleged that respondent Kerry Culleton ("Culltiton") did not adequately make clear the risks invo

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Robert E. Lowry Claimant, v. NASD No. 94-2592 BA Investment Services, Inc., A Bank of America Company, Ken Cordle, Nancy Swisher and Does 1 dirough 100, Respondents. R^resentation For Claimants: David Maricun. Esq., Esq., Robert Gonser, Esq. and Colleen Hammer. Esq. of Zelle & Larson, San Francisco, Califomia For Respondent: Karen Strauss, Esq.,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter ofthe Arbitration Between Name of Claimant Raymond S. Allred, Jr and Mame of Respondent Calvert Securities Coiporation d/b/a The Acacia Ciroup \ Case Number 94-02581 REPRESENTATION OF P> Raymond S. Alfred, Jr. was represented by Ben A. Wallis, Jr, Esq.., Sole Practitioner, located in San Antonio, TX. Calvert Securities Corporation d/b/a The Acacia Group was

N.AS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Reza Malek-Zadeh 94-02580 Name of Resixipdents Smith Bamey Shearson, Inc. Kevin J. Schaefer REPRESENTATION Claimant Reza Malek-Zadeh ("Claimant") was represented by Janet K. DeCosta, Esq., Wa.shington, D.C. Respondems Smith Bamey Shearson, Inc. ("SBS") and Kevin J. Schaefer ("Schaefer") were represented by Linda R. Alpert, A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Orlol International Corp. Award No. vs. 94-02577 Name nf Respondents National Financial Services Corp. vs. Third-Partv Respondents Financial Securities Network, Inc. Michael P. Hearty Jeremiah J. Hegarty REPRESENTATION For Claimant, Oriol International Corp. ("Claimant") Evan Slavitt, Esq., ftom the firm of Hinc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Ralph R. Bauman 94-02840 Smith Bamey Shearson, Inc. Mark H. Drucker Lou Aiela CASE SUMMARY In a chum fded with die National Association of Securities Dealers, Inc. on July 21, 1994, Claimant Ralph R. Bauman, who appeared Pro Se, alleged that Respondents Smith Bamey Shearson, Inc. ("SBS"), Mark H. Dmcker ("Dnicker") and Lou