N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between Joseph and Jean H. Lcmpert 94-02423 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23. 1994, Claimants Joseph and Jean H. Lempert, who appeared Pro Se, alleged that their preference is for conservative, profitable investing. Claimants

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Aibitration Between NamcofCjaiinants Fred C and Barbara R. Ungar 94-02396 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. CASE SU>L\Ufil In a claim filed with the National Association of Securities Dealers, Inc. on June 21,1994, Claimants Fred C Ungar and Barbara R. Unger ("Claimants"), who appeared Pro Se, maintained that they opened two IRA accounts and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Joseph F. and lisa M. Sadik 94-02365 NameofRiMiOBdents TedSignora Thomas James & Associates CASE SUMMARY In a claim filed with the National Association of Securities Dealen, Inc., on June 21, 1994, Claunants, Joseph F. and Lisa M. Sadik, who appcaiod Pro Se, alleged the Respondents, Thomas James Associates ("TJA") and Ted Signora ("Signom") wer

N.A.S.D, AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimantfsl Heit)ert F. Wischnia and Use B. Wischnia 94-02349 NameofResnondemfs^ Shawmut Brokerage, Inc. CASESLTMMARY In a claim fUed with the National Association of Securities Dealers. Inc. on June 21, 1994 Claimants Herbert F. and Ilse B. Wischnia, who appeared pro se. alleged that Respondem Shawmut Brokerage, Inc. negligently handle

* N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS, INC. In rhe Matter i>f lhe Arbitration Between N^me of Claimantfs) Ralph E. and Marilyn E. Borgmann. et al. 94-02289 Nj5^me nf ResDondent(sl Kidder, Peabody & Co.. Incorporated James W. Ostefhagen CASE SUMMARY In a claim filed with the National Associatkm of Securities Dealers, Inc. on June 16. 1994, Claimants Ralph E. and Nfarilyn E. Borgmann, who appeared pro se, alleged the Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURIHES DEALERS In the Matter of the Arbitration Between Narpg of Claiinam W. Brian Sanders 94-02271 Name nf Respondents Oak Ridge Investments, Inc. and David Ryan Representation of Parties Claimant, W. Brian Sanders ("Claimant") was represented at the hearing by Robert J.Mandel. Esq. of Neal Gert)er & Eisenberg, Chicago, Illinois. Respondems, Oak Ridge Investments ("Oak Ridge") and David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the .Arbitration Between Sharon Vannostrand 95-02256 Name of Respondents Barron (fhase Securities, Inc. Paul Deperino Nape gf ^r9wC'«imy'(/'niiri-PyTY Claiipani Barron Chase Securities, Inc. NameofCross-ResDondem Paul Deperino Third-Party Respondents First Montauk Securities Corp. Paul M. Giarmoleo Tye Rodriguez Fyurft-Pifty IfeWlriW^ Robert T.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mikhail Khavkin 94-02247 Name of Respondents Olde Discount Corporation, Lance Zicsmer and Dan Patterson Representation nf Parties Claimant, Mikhail Khavkin ("Ckumam") appeared at the hearing Pro Se. Respondents, Olde Discount Corporation, Lance Ziesmer, and Dan Patterson ("Respondents") were represented at the hearing by Ti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G. Frank Bruel, Jr. 94-02211 J.W.Bullard & Co. James BuUard For Claimant G. Frank Bruel, Jr. ("Claimant") appeared Richard G. Sablonsky. Esq., New York City, NY. For Respondents J. W. Bullard & Co. and James Bullard ("Respondents") appeared Arthur P. Fisch, Esq., New York City, NY. The Statement of Claim was filed on May 24, 1994 and Ciaimant*s

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William T. Lytran and 01-05719 Name of Respondent Datek Online Financial Services LLC REPRESENTATION OF PARTIES William T. Lytran ("Claimant") represented himself. Datek Online Financial Services LLC ("Respondent") was represented by G. Thomas Fleming, Esq. and Catherine L. Dellecker, Esq., Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P., Los Angel