N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between N[ajnj of Claimant! s> Sarajane J. Rinckenberger 92-02638 Name of Respondent! s) Prudential Securities Inc Mark Sklar REPRESENTATION The Claimant appeared pro se. For Respondents Mark Sklar and Prudential Bache Securities. Inc.: Gary A. Klein. Esq. CASE INFORMATION Statement of Claim tiled on: August 6. 1992. Claimant s S

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Danny M. and Betty L. Arnold MODIFIED AWARD 92-02635 Name of Respondents Prudential Securities Inc James Keenan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7. 1992. Claimants Danny M. and Betty L. Arnold, through their counsel, Robert M. Roth of RM Roth &

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herbert and Annabelle Wolfzahn 92-02632 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on August 7, 1992 Claimants Herbert and Annabelle Wolfzahn alleged that on April 4, 1991 they purchased 1700 Warrants of Ann Taylor Holding, Inc. for $11,52

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Timothy M. Lucas 92-02630 Name of Respondent Quest Capital Strategies, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1992, Claimant Timothy M. Lucas, who appeared Pro Se, alleged that Respondent Quest Capital Strategies, Inc. made an error in his account whe

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 92-02629 NameofResQondent Howard Watson CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on August 7. 1992, Claimant PaineWebber, Inc.. through it's in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Howard Watson refused to return a certificat

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 92-02628 Name of Respondents Kathryn Shaifer Carl H. Shaifer Name of Third Pany Respondents Global America. Inc. Michael Markowski REPRESENTATION For Claimant Prudential Securities. Inc. ("Claimant"): Richard A. Miller. Esq. of the law firm of Katten. Muchin & Zavis For Kathryn Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Henry Heth No. 92-02627 Name of Respondents Jeny Kopf Kessler Asher Clearing, Inc. Name of Third Party Respondent Steven Solomon For Claimant: Brian K. Lowe, Investors Arbitration Services, Inc. For Respondent Jerry Kopf: James L. Schwartz, Esq. of Schwartz and Sachse, P.C., Chicago, Illinois. For Respondent Kessie

N.A.SrD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Albert L. Barbara 92-02625 Name of Respondents) Reich & Co., Inc. Paul Fitzgerald REPRESENTATION For Claimant: Dan Brecher, Esq. For Respondent Paul Fitzgerald: Edward J.M. Little, Esq. of Zuckerman, Spaeder, Goldstein Taylor & Kolker. For Respondent Reich & Co.. Inc.: Maria Lubienski Ciokajlo. Esq. of Cadwalader

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Michael Christy V. Shearson Lehman Brothers, Inc., Gruntal & Co., Inc., Richard Patterson Case Number; 99-3294 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimant, Michael Christy ("Christy"), hereinafter referred to as "Claimant": Anthony V. Trogan, Esq, Weisman, Trogan, Young & Schloss, P.C., Bingham Farms, Michigan. Respondents, Shearson Lehman Brothers, Inc. ("Lehma

NASD Arbitration No. 92-02621 N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES pEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Margaret Yeo Name of Respondent(3) PaineWebber Incorporated John A. Koch REPRESENTATION For Claimant: Timothy L. Taggart, Esq., Bloomington, California For Respondents: Judy Louie, Esq. and Scott M. Ratchick, Esq., PaineWebber, Incorporated, Los Angeles,. California CASE TNTORM