N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of tiie Arbitration Between Jeffrey R. and Doris E. Matt 94-02682 Olde Discount Coiporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1994, Claimams Jeffrey R. & Doris E. Matt, who appeared Pro Se, alleged that Respondent Olde Discount Coiporation, through its broker, CSeoige Bailcer, recommended that he buy 200 shares

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aitntration Between Linda Meloche and tois Meloche 94-02680 Westonka Investments, Inc., Mark E. Strangis, Southwest Securities, Inc., and Timothy Friederichs REPRFi;ENTATrf^N Claimants, Linda and Lois Meloche were represented by Rebecca E. Bender, Esq. of Minneapolis, Minnesota. Respondent, Southwest Securities, Inc. was represemed by David A. Orenstein, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between John S. Chapman 94^679 NameofResDondcntfs^ Smith Bamey Shearson, inc. REPRESENTATinN Claimant John S. Chapman ("Chapman"), appeared pro se. For Respondenc, Smith Barney Shearson, Inc. ("Respondent"), Linda R. Alpen, Esq. in-house counsel. CASE INFORMATION Statemencof Claim filed: July M, 1994. Claimant's Submission Agreement signed on: July

N.A.S.D. AWARD NATIONAI. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maynard J. Buranen 94-02677 Westonka Investments Inc., R.J. Stcichen & Co.. and Mark Edwin Strangis Claimant. Maynard J. Buranen ("Buranen") was Represented by Gregory L. Wilmes. Esq. and Mark Briol, Esq. of Briol & Wilmes, Minneapolis. Minnesota. Respondems, Westonka Investments, Inc. ("Westonka") and Mark Edwin Strangis

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05732 Luciann M. Leraul, claimant vs. H&R Block Financial Advisors, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Concord, CA. For Respondent appeared in-house counsel, Lisa S. Fildes, Esq., Detroit, ML DATE FILED: December 13, 2001 CASE SUMMARY: Claimant alleged that respondent failed to disclose material facts regarding a bond investment. Claimant maintained that due to

NASD RF.GUI.ATION, INC. AWARD [n the Maner of the Arbitration Between Name of Claimant Patricia Parker ')4-02670 Name of Respondents Gar>' Goldberg & Co..Inc. Gary Goldberg REPRESENTATION For Claimant Patricia Parker ('claimant"), appeared David E. Robbins, Esq. ofthe law firm Kaufman, Kcincr, Yamin, Gildin & Robbins located in New York City, New York. For Respondents Gary Goldberg f'Goldbcrg";, Gary Goldberg & Company, Inc. ("GGC"j. appeare

NJiS,D, AWARD NATTONAI. ASSOCIATION OF SKCURTTTFS DKALERS. INC. In the matter of the Arbitration Between Mamg nf Clatmanr Billy Bower NASD Arbitration 9402666 vs. NameofRpspondent Tamaron Investments, Inc. REPRESENTATION For Claimant: Reed H. Bement, Esq., San Francisco, California For Respondent: David A. Zisser, Esq., Berliner, Zisser, Walter & Gallegos, Denver, Colorado CASE INFORMATION Statement of Claim filed: July 8,1994 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nancy Hotaling 94-02658 Name of Respondents Dean Witter Reynolds, Inc. Patricia Mittman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1994, Claimant Nancy Hotaling, through her representative, Michael W. Pursley, Safety Harbor, Florida, alleged that Respondents Dean Witter Reynolds, Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard W. Bjorklund 94-02657 Boenning & Scatteigood, Inc. Arnold Mark Rudiger, Jr. CASE SL'MMAHY In a claim filed with the National Association of Securities Dealers, Inc. on July 8, 1994, Claimant Richard W. Bjorklund, through his counsel Stanley Luongo, Esq. of Edward A. Savastio & Associates, West Chester, PA, alleged that

N.A.S.D. AWARD NATIONAI. ASSOCUTION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Vivian D. Parker 94-02656 Merrill Lynch. Pierce. Fenner & Smith, Inc. Joiihua Frankel CASE SLTMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1994. Claimant Vivian D. Parker, who appeared Pro Se, aUeged that Re^xmdems Merrill Lynch. Pierce, Fenner & Smith, Inc. ("MLPFS") and Joshua Frankel ("Frankel") pu