N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey Zwerin 95-02390 Kenton M. Nakken gAgg Sfyi^iMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 1995, Qaimant Jeffrey Zweru ("Qaimant"), who appeared Pro Se, alleged that Respoodent Kenton M. Nakken ("Respondent"), misr^resentedto hun die Hyperion 2005 Investment Grade Oppormnity Tmn T

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant William S. Magness 95-02343 Name of Respondent Peter C. Macor < ?ASE SVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 16, 1995, Claimant William S. Magness ("Claimant"), who af^ieared Pro Se, alleged that Respondent Peter C. Macor ("Respondent"), made unauthorized trades in his account he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECPRITIES DEALRRS Vining-Sparks IBG Limited Partnersliip & IBAA Securit;ies Corp., Claimant/Counterrespondent, V. No. 95-02317 Morgan Keegan & Co., Inc., and Gary Mills, Respondent s/Count:erclaimants REPRESENTATTQM OP PARTIES Claimants/Counterrespondents Vining-Sparks IBG Limitied Partnersliip & IBAA Securities Corp. {"Claimants") were represented by Earl J. Scliwarz, Esq., and Frank L. Watson

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of die Arbitration Between NMlg9fC]8im{Hlt Laura D. Schuldt • 95-02299 Smith Barney Shearson, Inc. James A. Shaffer CAgfiSVMMABY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1995, Claimant, Laura D. Schuldt, who appeared Pro Se, alleged diat Respondents^ Smidi Barney Shearson, Inc. ("SBS") and James A. Shaffer ("Shaffier"), ddayed

N.A.S.D. AWARD NATIONAL ASSOCLiTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexandra Putman 95-02298 Name of Respondent Karen M. Brantseg n/k/a Karen Manipis Reynolds Kendrick Stratton, Inc. Jelfrey A. Kahn Robert W. Kendrick J.B. Oxford & Company CASEStTMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1995, Qaimant Alexandra Putman ("Qaimant"), d

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Kendall H. Loughney Names of the Respondents Rural Securities, Inc., Moises Ramos, Federico Jenkins, Fernando Toledo, Adriano Teixeira, First Securities Investments, Inc., Northeast Securities, Inc., Didier Stickel, Rural International, Inc. and Bear, Steams Securities Corp. Case Number: 01-04253 Hearing Site: Boca Raton, Florida Nature o

NATIONAL ASSOCTATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Ruben Brauner, Claimant, V. NASD No. 95-2290 Great Western Financial Securities Corporation, Respondent. Representadon For Claimant: John Mclntyre, Esq. of Smith, Smith & Kring, Irvine, Califomia For Respondent: B. Scott Silverman, Esq. and Yvonne D. Denenny, Esq. of Monison & Foerster, Los Angeles, California Case Information Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECLIUTIES DEALERS In foe Matter of foe Arbitration Between Name of Claimant Phoenix Third Market Corp. 95-02278 Name of Respondent Gary Berman For Cldmant Phoenuc Third Market appeared Thomas J. McCabe, Esq., New York City, New York. Respondent appeared pro se. CASE INFORMATION The Statement of Claim was filed on May 4, 1995. Cldmam executed a Submission Agreemem on May 5, 1995. Respondem filed

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbiuration Between Ramona P. Mayer Revocable Trust, Cldmant, v. No. 95-02274 Peter Carmack, Respondent. REPRESENTATION OF PARTIES Ramona P. Mayer Revocable Trust ("Claimant") was represented by Ramona P. Mayer of Shawnee Mission, Kansas. Peter Carmack ("Respondent") was represented by Karen Brink, Esq., of Olde Discount Corporation, Detroit, Michigan. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Eric J. Marquardt 95-02268 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the Nationd Association of Securities Deders, Inc. on May II, 1995, Qaimam, Eric J. Marquardt, who appeared Pro Se, dleged that Respondent, PameWebber, Inc., purchased unsuitable securities for him, churned his account and purchased securities for his