N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaipiant Prudential Securities, Inc. 94-03397 Name pf Respondent Michael E. Ryan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1994, Claimant, Piudendal Securities, Inc. ("PSI"), through its in-house counsel Denis J. McCarthy, Esq., New York, New York, alleged that on or about Febru

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. NASD Arbitration #94-03957/#94-03964 vs. Name of Respondents Ray Anderson N. Lee Kearney, Jr. Harry A. McCoy Thomas G. Tripp RKPRESENTATIQN For Claimant: Ronald Kane, Esq., and Diane C. Fischer, Esq., Siegan Barbakoff Gomberg & Kane, Ltd., Chicago, Illinois For Respondents: Justine

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantrsl Stephen P. Glennon 94-03955 Name of Respondentfe) S.N. Phelps and Company Stanford N. Phelps REPRESENTATION For Claimant Stephen P. Glennon ("Glennon") s^jpeared Leslie Trager, Esq. of Morely & Trager located in New York City. For Respondents S.N. Phelps and Company ("SNP") and Stanford N. Phelps ("Phelps") collectively

Award NASD Dispute Resolution In the Matter of the Arbitration Between: p nf the riaiTnant Case Number 01-04457 Denise M. Harmening Names of the RfispnnHervfq Hearing Site- Baltimore, MD Ferris, Baker Watts, Inc. James F. McCrory REPRESENTATION OF PARTTES Claimant, Denise M. Harmening, hereinafter referred to as "Claimant' 1 , was represented by Thomas C. Costello, Esq., West & Moore, LLC, Baltimore, Maryland. Respondents, Ferris, Ba

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael J. Ifwomey, (Claimant) vs. Thomas F. Maher, (Respondent) Case Number: 00-01382 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, l\jlichael J. Twomey, hereinafter referred to as "Claimant", appeared pro se. Respondent; Thomas F. Maher, hereinafter referred to as "Respondent", did not make an appearance Jin this matter. j CASE INFORMATION i

NASD DISPUTE RESOLUTION AWARD NASDJ)ISPUTE RESOLUTION, INC. CASE: 00-00151 Kirlin Securities, Inc., claimant vs. Hussein Ayoub, respondent. ATTORNEYS: For Claimant appeared John T. McGuire, Esq., New York, NY. Respondent appeared Pro Se, New York, NY. DATE FILED: January 14, 2000 CASE SUMMARY: Claimant alleged that respondent failed to repay a promissory note executed on April 1, 1999. Claim Data Claim: $5,000.00 Interest: @ 9% from resi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adrienne Roth Graham-Grossman, (Claimant) vs. Salomon Smith Barney Inc., Gruntal & Co., L.L.C., and Leonard D. Shapiro, (Respondents) Case Number: 00-00018 Hearing Site: New York, New York REPRESENTATION OF PARTIES / Claimant, Adrienne Roth Graham-Grossman, hereinafter referred to as "Claimant": Joan M. Markey, Esq., a sole practitioner, New York, NY. Respondent, Salomon S

N.A.S.D. AWARD NA'nONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Anthony Russo 94-(B950 Name of Respondents Paul D.Miller Barron Chase Securities bic. ^^^SBTOIM^Y In a claim filed with tiie National Association of Securities Dealen, Inc. on Sqjtember 28,1994, Claimant, Andnny Russo, who appeared Pro Se, allied that Re^poodoits, Barron Chase Securities, LK. ("Bamm") and Fuil Miller ("Miller") misreineaented a

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURTITES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Mary J. Greene, Executrix Herbert Allen Perry Estate 94-03949 Name of Resoondentfs) Merrill Lynch Pierce Fenner & Smith Inc. Mark E. Bryan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1994, Claimant Maiy J. Greene, Executrix, Herbert Allen Perry Estate, who a

NASD. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ofQIaimant First Chicago Investment Services, Inc. 94-03948 Shari J. Stevens In a claim filed with the National Association of Securities Dealers, Inc. on September 26, 1994, Claimant. First Chicago Investment Services, Inc. ("FCIS"), through its in-house counsel Julie A. Lepri, Esq., Chicago, Illinois, maintained that on September 7, 1993 Respondent,