N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Philip J. Romano, Dr. 94-04577 Name of Respondent Peyton N. Jackson REPRESENTATION Claimant Dr. Philip J. Romano ("Claimant") was represented at the hearing by David H. Zimmer, Attorney at Law, Potomac, MD. Respondent Peyton N. Jackson ("Respondent") was represented at the hearing by John E. Coffey, Esq. of the law firm of

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaim^n^ Gordon Fixed Income Investments, Inc. 94-04575 Names of Respondents Tucker Anthony Incoiporated Gabriele, Hueglin & Cashman Inc. Crews & Associates, Inc. Tullett & Tokyo Securities, Inc. For Claimant, Gordon Fixed Income Investments, Inc. ("Gordon"): Joseph W. Anthony, Esq. of Froth and Anthony, P.A. in MinneapoUs, Minnesot

W.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITTFJ; DEALERS. INC. In die matter of die Arbitration Between NamcfffClaimantds) PameWebber, Inc. Name of Rcspondentf 5) Lance Dalton NASD Arbitration No. 94-04574 For Claunant: For Respondent: Statement of Claun fded: Claunant's Submission Agreemem signed: REPRESENTATION Kathiyn L. Krebs, Esq. * * PameWebber, Inc. Los Angeles, Califomia Dan A. Druz, Esq. Manasquan, New

NASD. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Ronald M. Kubiak 94-04570 Name of Restiondent Bear Steams & Co., Inc. CASE SUMMARV In a claun filed with the National Association of Securities Dealers, Inc. on October 31, 1994, Claimant Ronald M. Kubiak, who appeared Pro S^ alleged that oii April 18, 1991, Respondent Bear Stearns & Co:^ Inc.. ("Bear Stearns") reconunended the pur

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In die Matter of the Arbitration Bttween Name of Claimants Eugene F. and Ruth M. Ottersen 94-04569 Name of Resnondent Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1994, Claimants Eugene F. and Rudi M. Ottersen ("Qaunants"), who appeared Pro Se, allied that Respond

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Johnson 94-04567 Name of Respondent National Discount Brokers CASE SUMMARY In a clwm filed with the National Association of Securities Dealers, Inc. on October 31, 1994, Claiinant Michael Johnson ("Johnson"), who appeared Pro Se, alleged that in May 1994, he requested that Respondent National Discount Brokers ("NDB") tr

N.A.S.D. AWARD NATIONAL ASSOCIATIO.N OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimants Estate of Beatrice C. Cantrell, Victoria C. Thomason, Personal Representative 94-04566 Name of Respondents Gary W. Wortman Scott & Stringfellow, inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1994, Cldmant Estate of Beatrice C. Cantrell, through its court appoin

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-04349 Henrietta Liebowitz, claimant vs. Sylvia Lanka, Merrill Lynch, Pierce, Fenner & Smith, Inc., respondents. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared in-house counsel, Yoset Sinensky, Esq., New York, NY. DATE FILED: August 15, 2001 CASE SUMMARY: Claimant alleged she invested $22,002.05 in the John Hancock Hi Yield- Class B Mutual Fund as rec

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitiation Between Meltzer Family Trust, and Nathan & Anne Meltzer, Trustees, Claunants, v. No. 94-04559 Cohig and Associates, Inc., and Tom E. Wilkinson, III, Respondents. RKPRESKNTATION OF PARTIES Meltzer Family Trust, and Nathan & Anne Meltzer, Trustees ("Claimants") appeared on their own behalf. Cohig and Associates, Inc., and Tom E. Wilkinson, III

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimant(s) Scott McLean 94-04558 Name of ResDondent(s) Greenway Capital Corporation Gilbert Ramos Fred Luthy Joseph Guccione REPRESENTATION For Claimant, Scott McLean ("Claimant") appeared Michael M. DiCicco, Esq., of the law firm Bathgate, Wegener, Dugan & Wolf, located in Lakewood, New Jersey. For Respondents Greenway Cap