NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the .Arbitration Between Harold G. Butzer, and Catherine L. Butzer. Claimants. and 94-02568 Smith Barney Shearson, Inc., and Lester L. Sockey, Respondents. REPRESENTATION OF PARTIES Harold G. Butzer, and Catherine L. Butzer ("Claimants") were represented by David P. Getting, Esq., of Curtis, Getting, Heinz, Garren & Soule, P.C. St. Louis, Missouri. Smith Bar

94-02564 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arhiiration Between Name oLClaimant Gerald Mueller Name nf Rf^^pnn^^pt Olde Discount Corporation llF.PRFSF.\"rATI01M For Claimant: Gerald Mueller ("Mueller") was represented by Eric J. Wexler, Esq. of Raymond & Prokop, P.C, located in Southfield, Michigan. For Respondent: Olde Discount Corporation ("Olde") was represented by Amy Kutt Richards, Hsq. of

NASD Arbitration No. 94-02554 W.A.g.P. AWARD NATTOWAL ASROrTATION OF SECtTRITTRfl DPai.BRfi. TVIC In the me*-zer of the Arbitration Between Name of Claimant(s) Thomas R. Kiklas Name of Regpondentfs) Glendale Federal Bank Glenfed Brokerage Services Chuck DeLao RBPRBfigMTATTON For Claimant: Bruce R. Safran, Esq., Tarzana, California For Respondents: Joel Dworlc, Esq., Howard Everakes & Associates, Glendale, California gA3E Ilfl

NATIONAL ASSOCIATION OF SECDRZTISS DEALERS ANARD In th :• Matter of the Arbitration Between Lawrence and Estelie Gianinni, Claimants, V. David N. Busby, Anchor National Financial Services, Sunameiica Securities. Inc., Peter J. Damail and Robeit E. tCemna NASD No. 94-2550 Respondents. RgpreseHtaiion For Claimants: Scot Bernstein, Esq., Sacramento, California For Respondent Peter Damail: Pro se, Sacramento, California For Responden

N.A.S.D. AWARD N&TIONIU^ ASSOCIATION OF SBCintXTIES DEAI.SRS In the Mat:cer of the Arbitration Between Robert and Claire Schofield 94-02548 Dean Witter Reynolds Inc. Robert E. Schofield, Jr. Claimants Claire Schofield and Robert Schofield, 5r. ("Claimants") were represented at the hearing by David A. Ruhnke, Esq. from the law firm of Ruhnke & Barrett, West Orange, New Jersey. Respondent Dean Witter Reynolds, Inc. (referred to as "DWR" or "Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFJIS In the Maner of the Arbitration Between Kathk-en M. and Paul K. Voak ':>4-02545 Brown & Company Securities Corp. Steve Napolitano EXTATION Claimants Kathleen M. and Paul K. Voak ("claimants'") appeared Pro Se. For Respondents Brown & Company ("Brown") and Steve Napolitano ("Napolitano") appealed Barr>' Fischer of the law firm of Bcmkopf. Goodman & Baseman Located in Boston, Massachus

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between IL JNL Plumbing & Heating Profit Sharing Plan 95-02534 Compass Investment Services NorthFork Bancoip W.H.O. Corp. Randi DiLeone REPRESENTATION For Claunant JNL Plumbing & Heating Profit Sharing Plan ("Claimant"), appeared Stephen Davis. For Respondem Compass Investment Services ("Compass"), appeared Jeffery Starr, Esq., uf the firm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05722 Robert L. and Donna L. Gray Donna L. Gray IRA Donna L. Gray IRRA Names of the Respondents Hearing Site: Baltimore, MD Merrill Lynch, Pierce, Fenner & Smith, Inc. Scott D. Brown Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert L. and Donna L. Gray, Donna L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Aibitration Between Names of Claimant Betty J. Dresden, PetroneUa M. Kohler and Johannes Van Gurp 94-02529 Names of Respondents Kemper Securities, Inc. Erik J. Anderson REPRESENTATION For Claimants, Betty J. Dresden ("Dresden"), PetroneUa M. Kohler ("Kohler"), and Johannes Van Gurp ("Van Quip"): John Graves, Esq. and WiUiam T. Kiitley, Esq., Sarasota, Florida

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aitritiation Between NameofClaiman^(^^ Joseph Charles & Assoc., Inc. 94-02528 NameofResDondentfs^ Keith Richard Bossey Steven Richard Perlstein REFRESENTAIION For Claimant, Joseph Charles & Associates, Inc. ("/CA"): Amold Levine, Esq. of JCA, Boca Raton, FL. For Respondents, Keith Richard Bossey ("Bossey") and Steven Richaid Peirlstein ("Perlstein"): Howar