N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name'of Claimants John and Linda Vavrek 92-02521 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Paul W. Ziegler REPRESENTATION For Claimants John and Linda Vavrek ("Claimants"): Anthony J. Hartman, Esq. of Hermann Cahn et al. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("MLPFS") and Paul W. Ziegler ("Ziegler")

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen M. Young vs. 92-02517 Name of Respondents NWNL Management Corporation Charles E. Warner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1992, Claimant Helen M. Young, who appeared Pro Se, alleged that Respondents NWNL Management Corporation and Charles E. Warner misled her int

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: BEVERLY L. ZWARYCH, Claimant, -vs- GARY LEE WALES, J. WILL PAULL, CLARK F. COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, KENNETH D. WARNICK and MARINER FINANCIAL SERVICES, INC., Respondents. Case Number: 99-03273 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Beverly L. Zwarych ("Claimant"): Anthony V. Trogan, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of Claimants Paul & Margie Campbell, Kelly Campbell vs. 92-02516 Name of Respondent^ Dominick & Dominick Incorporated George Tully For Claimants Paul, Maigie and Kelly Campbell, ("Claimants"): Paul Campbell and Christopher Osbome represented the Claimants. For Respondent Dominick & Dominick, Inc. ("Respondent "): William P. Bethune of the

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert M. & Virginia K. Butler 92-02515 Name of Respondents Calvert Securities. Inc. Conrad L. Richey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30. 1992. Claimants Robert M. & Virginia K. Butler, who appeared Pro Se, alleged that on July 1. 1987 Respondent Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Jurczyk vs. 92-02511 Name of Respondent(s) First American Biltmore Securities, Inc. Gary Graham J. Gordon Nevers CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on July 30,1992 Claimant Stanley Jurczyk who appeared Pro Se alleged that on February 03, 1992 he opened an ac

NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of. Claimant Catherine A. Gauch and 92-02505 Napie of Respondents Schneider Securities, Inc., Jon Joslin REPRESENTATION OF PARTIES Catherine A. Gauch ("Claimant') was represented by Luke J. Danielson, Esq. and Kimberly J. Graber, Esq. of Gersh & Danielson, Denver, Colorado. Schneider Securities, Inc. ("Schneider*) was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants George Medvecky David N. Ramona 92-02498 Name of Respondents Shearson Lehman Brothers, Inc. Andrew Stover REPRESENTATION For Claimants: Daniel E. Wolfson, Esq. of Wolfson & Associates. For Respondents: Tom Knepper, Esq. of Neal Gerber et al. CASE INFORMATION Statement of Claim filed: July 28, 1992. Claimants' S

PU6L/C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameafCJaimants Blase K. Sacus & Patricia Sacus 92-02494 Name of Respondents Thomas James Associates. Inc. Thomas Morton CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on July 29, 1992. Claimants Blase K. and Patricia Sacus, who appeared Pro Se, alleged that in July 1990 Claimant Blase K.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Lawrence H. Van der Aa 92-02491 Name of Respondent High Yield Management Securities, Inc. CASE SUMMARY In a claim filed with the National Association of: Securities Dealers, Inc. on July 28, 1992. Claimant Lawrence H. Van der Aa, who appeared Prft.Se, alleged that Respondent High Yield Management Securities, Inc. was