N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Burnham J. Nash and 92-02404 Name of Respondent^ Prudential Securities. Inc. and Greg Fulton REPRESENTATION OF PARTIES Burnham J. Nash ("Claimant") was represented by Steven W. McDonald, Esq. of Brenman, Raskin, Friedlob & Tenenbaum. P.C., Denver, Colorado. Prudential Securities, Inc. and Greg Fulton ("Respondents") w

N./LSJX AVABD O SECURTny; nFAT.T«; INC. In the nutter oi the Arbitration Between Wtiter A. and Kaico Hefner Oppcobcuner Be Co n Inc. Charks C Boflard Staccmcm of Clatm filed: July 20, 1992 Ckoinaats' Subzoution Agreement ^fg"*^* JtUj 29, 1992 Joint Sucement of Answer tiled: September 24, 1992 Respondents' Sabausnon AgPBBmcnc yignff^* iietfner ft Co.: September 24, 1992 Bdlazd: None submitted. Prt-hearing telephone conference date

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brian and Barbette Niles 92-02402 Name of Respondents S.D. Cohn & Co., Inc. Wertheim Schroder & Co., Inc. H. August Perotti Michael F. Dura Charles Sullivan Lewco Securities Wertheim Schroder Holdings CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Dorothy E. Roe Claimant CASE #92-02401 AWARD vs. Piper Jaffray Inc. Bruce G. Allen Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1992, Claimant Dorothy E. Roe who appeared Pro Se, alleged that Respondent Piper Jaffray, Inc.. through it's registered repres

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Paul Abbruscato vs. 92-02400 Name of Respondents Kir 1 in Securities. Inc. Sy Cohen CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on July 21. 1992. Claimant Paul Abbruscato. who appeared Pro Se. alleged that in March 199! he purchased a S25.000 face value Collateralized M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jean Liptak, (Claimant) vs. Joseph C. Kane, Jr., Laidlaw Holdings Asset Management, Inc., Laidlaw Equities, Inc., and Laidlaw Global Securities, Inc., (Respondents) Case Number: 99-03260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jean Liptak, hereinafter referred to as "Claimant": Peter E. Fleming, III, Esq., Curtis, Mallet-Prevost, Colt & Mosle, Stamford,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Attila Szabo, Claimant v. Morgan Stanley Dean Witter Online, Inc. and Judith Rosenberg, Respondents Case Number: 00-01099 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California Robert T. Sullwold, Esq. Sullwold & Hughes San Franci

:: A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter or the ArDitration Between Name IT Paine Webber, inc. Case ff vs. 92-02399 Name of Respondent John Paul Guercio REPRESENTATION For Claimant: Edward P. Degenhart. Esq.. of PaineWebbcr. Incorporated. For Respondent: John Paul Guercio. Scon H. Goldstein. Esq. CASE INFORMATION Statement of Claim filed: July 20. 1992. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard S. Abrams, MD. Pensions Trust No. 92-02397 Name of Respondents^ Merrill Lynch, Pierce, Fenner & Smith, Inc. Guy Goodwin REPRESENTATION OF PARTIES Richard S. Abrams, MD appeared on behalf of the Claimant. For Respondents: Francis C. Musselman. Esq., Merrill Lynch, Pierce. Fenner & Smith, Inc., New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John C. Gilhooley 92-02396 Names of Respondents Westport Resources Investment Services, John Adams Vaccaro First Eastern Equity Corp., Inc. Sperber Adams & Co. Robert Parker REPRESENTATION For Claimant, John C. Gilhooley ("Gilhooley"): Harry W. Haskins, Esq. of Sarasota, Florida. For Respondents/Third-party Clai