P" 1 I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Carl R. Meisner Claimant CASE #92-02557 AWARD vs. Greg Traina Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992. Claimant Carl R, Meisner who appeared Pro Se, alleged that he was introduced to Respondent Greg Traina, Account Executive with Whale Secu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dana Shibley, Claimant vs. Charles Schwab & Co., Inc. and Excite, Inc., Respondents. Case Number: 99-03274 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Dana Shibley, hereinafter referred to as "Claimant": Thomas G. Best, Esq., San Francisco, California Respondent, Charles Schwab & Co., Inc. ("Schwab"): Gregory M. Scanlon, Esq., Charles Schwab

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin Stem 92-02555 Name of Respondents First Nutley Securities, Inc. Ameritrade, Inc. v CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimant Martin Stem, who appeared Pro Se, alleged that he asked Mr. German Ramos, registered representative from Res

N.A.SJ). AWARD NATIONAL ASSOCIATION «F SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas F. Miller, Trustee for the Bankruptcy Estate of Dftfe R Baxiage and Date E. Bariage and 92-02554 Dean Witter Reynolds, lac. Thomas F. Miller, Trustee for the Bankruptcy Estate of Date E. Badage ("Mate") was represented at the heating by Kevin W. Rouse, Esq., Minneapolis, Minnesota. Claimant DateH. Bariage ("Bariage") was repieJentcdatt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant(s) J.K. Macdonald Eloise R. Macdonald 92-02549 Name of Respondents) Smith Barney Harris Uphant & Co., Inc. REPRESENTATION For Claimants J.K. MacDonaid and Eloise R. MacDonald: Edward J. Dovin, Esq. of the law firm of Page & Bacek. For Respondent Smith Barney Harris Upham & Co., Inc. ("Smith Barney"): David S. Friedman,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman W. Merriei and Priscilla F. Kates 92-02547 Janney Montgomery Scon Inc. Harold Wiener REPRESENTATION For Claimants Norman W. Merriei and Priscilla F. Kates ("Claimants"): Anthony J. Horn, Attorney at Law For Respondents Janney Montgomery Scott Inc. and Harold Wiener: Richard S. Israel, Esq. of the law firm of Archer

N.A.S.D. AWAPJ) NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name pf Clai Prudential Securities, Inc. and 92-02543 Name nf Respondent John Edward Norman REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant") was represented by Gilbert W. Boyce, Esq. of Kutak Rock, Washington, D.C. John Edward Norman ("Respondent") was represented by Raymond J. Turner, Esq. of Sherman & Howard, Denv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jack D. Fowler vs. 92-02542 Name of Respondents Prudential Securities Inc James D. Shulman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimant Jack D. Fowler, who appeared Pro Se, alleged that Respondent James D. Shulman, through his employer firm, Respondent P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John J. and Evelyn J. Coco, JTWROS 92-02539 Name of Respondents Robert Todd Financial Corp. Steven R. Cloyes CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1992, Claimants John J. and Evelyn J. Coco, who appeared Pro Se, alleged that Respondent Steven R. Cioy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwana Corley and Gayle Corley Hardy 92-02523 Name of Respondents PaineWebber Incorporated; John Decker, Marvin Griffin, Jr. REPRESENTATION For Claimants: Edwana Corley and Gayle Corley Hardy were represented by Edwana Corley. For Respondents: PaineWebber Incorporated, John Decker and Marvin Griffin, Jr. were represent