N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Winters Owe No. 92-02620 Najpe of Respondents Merrill Lynch Pierce Fenner & Smith Inc For Claimant, John Winters ("Winters"): Hugh Stevens, Esq. of Everett Gaskins Hancock & Stevens. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): Paul W. Stivers, Esq. of Rogers & Hardin. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Russell E. Relyea, Trustee Treasure Valley X-Ray, Inc. Richard G. Fedrizzi, Individually and as Trustee J.L. Terteling, Trustee NASD Arbitration No. 92-02619 Name of Respondents') Oppenheimer & Co., Inc. William F. Gillis REPRESENTATION For Claimants: Patrick J. Miller, Esq., Givens, Pursley, Webb & Huntley, B

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monika L. Reakiit 92-02613 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1992, Claimant Monika L. Reakiit, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. failed to credit $2,000.00 to her ac

NATIONAL ASSOCIATION oy ^BC^JRITXES DE In the Matter or the Arbitration Between Michael Braverman Cue No. 92-02611 Namfr of Semondeiflf rt Larry Heehtman For {Claimant, Michael Bravennan ("Braverraan"). Adrienne Geortc-Bli*des, Esq., and Mark Raymond, Esq. of Tew and Gtrcia-Pedrosa. For Respondent, Larry Heehtman ("Heehtman"): Lloyd R. Schwed, Esq. of Carlson Bales ft Schv/ed. CASE iNfORMATION otatemem of Claim filed: August 5, 1992. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Cl James D. Billiard Pauline M. fflUiard No. 92-02(09 Resondents Bear, Stearns & Co. Inc. Charles Wright REPRESENTATION OF PARTIES Claimant, James D. Hilliard appeared on behalf of himself and Pauline M. HUliaid. For Respondents: Nicholas P. Iverone, Esq. of Bellows and Bellows, Chicago, Illinois. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bonnie L. and Thomas O'Malley vs. 92-02604 Name of Respondents Thomas James Associates. Inc. Lawrence Greenberg Joseph Olmsted Dirk Nye REPRESENTATION For Claimants: Bonnie and Thomas N. O'Malley appeared pro se. For Respondents: Thomas James Associates, Inc. ("Thomas James"), Joseph Olmsted ("Olmsted") and Dirk Ny

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS " In the Matter of the Arbitration Between Case Number 92-02601 Diane K. Potter and Tracy E. Potter, Claimants, v. Howard M. Silverman, Richard Devine, Oppenheimer & Co., Inc., Drexel Burnham Lambert, Inc., Vincent Thomas & Associates, Inc., and Robert Ainbinder & Co., Respondents. REPRESENTATION; Peter J. King, Esquire and Linda A. King, Esquire for Claimants, How

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje of ClaimaQt Michael P. Psillos vs. 92-02597 Name of Respondents The America Insurance Company Andrew P. Nardella REPRESENTATION Claimant Michael P. Psillos appeared pro se, Respondent American Insurance and Andrew Nardella did not appear. Respondent Prudential Securities was dismissed from the case prior to the hearing. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Case No. vs. 92-02594 Name of Respondent Arthur Jutte REPRESENTATION For Claimant, Prudential Securities, Inc., ("Claimant"), Gilbert W. Boyce, Esq. from the law firm of Kutak Rock located in Washington, D.C. For Respondent, Arthur Jutte, ("Respondent"), Robert M. Buschmann, Esq. from the law

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steve L. Carson and Jean Carson, (Claimants) v. Gaines, Berland, Inc., Joseph Berland, Arthur Mel Coffey, Michael Avella, Jr., Vincent Antonio Mangone, Eric Lee Miller, Richard John Rosenstock, Mark David Zeitchick, and GBI Capital Management Corporation, (Respondents) Case Number: 99-03292 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Steve L. Car