N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Xun Cheng Huang 94-04359 Name of Respondents Sheng Ping Feng Suppes Securities, Inc. CASE SUMMARY In a claim filed with die National Association of Securities Dealers, Inc. on October 19, 1994, Claimant Xun Cheng Huang ("Claimant"), who appeared Pro Se, alleged that Respondent Sheng Ping Feng ("Feng"), of the Respondent Jir

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Flora L. and Haskell Ginns 94-04357 Name of Respond^ U.S. Securities Inc. < ;>SffgSVMM< fflY In a claim fUed with tiie National Association of Securities Dealers, Inc. On October 19, 1994, Claimants Flora L. and Haskell Ginns, who appeared Pro Se, alteged that Reqxmdent U. S. Securities, Inc. did not properly handle their account. Claimants ftiidier

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Robert E. and Shirley C. Barker 94-04354 Name of ResDondent(s> Smith Barney Shearson, Inc. Brian S. Pearce For Claimants Robert E. and Shirley C. Barker ("Claimants"): Mark F. Hoard, Esq. of Marietta, Georgia. For Respondents Smith Bamey Shearson, Inc. ("Smith Bamey") and Brian S. Pearce ("Pearce") collectively ("Responde

N.A.S.D. AWARD HATXOHAL ASSOCIATION OF SECDSITXES DBALSR8 In the Matter of the Arbl1:ration Between wane of Claimants Lloyd H. Enery and Penelope J. Emery 94-04353 Name of Respondents Chatfield Dean & con^any Inc. Shelley Jones Frederick Wlegauid, Jr. Lawrence Jack Vlnk Thomas James & Associates RBPRBflgllTATIOII Claimants Lloyd H. Emery auid Penelope J. Emery ("Claimants") were represented by Lloyd H. Emery. Responde

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Aibitration Between Name of Claimants ICris Rusak; and Rebecca Rusak and NASD Case Number: 94-04348 Name of Responderts PaineWebber, Inc.; and James S. Matway REPRESENTATION OF PARTIES Claimants Kris and Rebecca Rusak were represented by Robert J. Hahn, Esq. of Cummings, McCIorey, Davis & Acho, P.C. located in Farmington Ifills, Michigan. Respondents Pain

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lew Lieberbaum & Co.. Inc. 94-04344 Name of Respondent Michael Pepe REPRESENTATION For Claimant Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum") appeared Lawrence Sandor. Esq.. in- house Corporate Counsel for Lew Lieberbaum. Respondent Michael Pepe ("Pepe") did not appear at the hearing. CASE INFORMATION The Statement of C

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Judi St. Pierre, individually and as Trustee FBO Judi St. Pierre Trust; and Patricia Norton and NASD Case Number: 94-04341 Name of Respondents Kemper Securities, Inc.; and Patrick DiGiacomo BEPRESENTATION Off PARTIES Claimants Judi St. Pierre, individually and as Trustee FBO Judi St. Pierre Trust, and Patricia Norton

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marie Romano POA/Fay Veni 94-04335 Name of Respondents Grassland Investor Services Corp. Josq>h Zarcone REPRESENTA'nON For Claimant, Marie Romano POA/Fay Veni, appeared Arthur P. Fisch, Esq., a sole practitioner located in New York, New York. For Respondents, Grassland Investor Services Coip. and Joseph Zarcone, appeared Kev

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLIUTIES DEALERS [n the Matter of the Arbitration Between Name of qaimam Marie Govemale 94-04329 Gruntal & Co., Inc. Eli Applebaum < ?Affl6SVMMAKY In a claim filed with the Natkmal Association of Securities Dealers, Inc. on October 18,1994, Claimam Marie Govemale ("Claimant"), who appeared Pro Se, alleged that Respondents Gruntal & Co., Inc. ("Gruntal") and Eli Applebaum ("Applebaum"), talked her into

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joanne L. Cohn and 01-05069 Denver, Colorado Name of Respondent Bane One Securities Corporation REPRESENTATION OF PARTIES Joanne L. Cohn ("Claimant") was represented by Delwyn G Haroldson, Esq., Boulder, Colorado. Bane One Securities Corporation ("Bane One") was represented by Michael A. Gross, Esq., of Ulmer & Berne LLP, Cleveland, Ohio. CASE INF