PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Averell vs. 92-01481 Name of Respondent MiciAmerica Management Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on April 29, 1992, Claimant Michael Averell, who appeared Pro Se, alleged that Respondent MidAmerica Management Corp. failed to follow his order to sell

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Harold E. Anderson Susan F. Groberg Dr. H. Carlton & Ida Howard Gary S. Indyk Joanette Keeley John Nadzak Doris E. Riley Anthony Sfarra 92-01478 Name of Respondents) Baud Patrick & Company, Inc. Damon Keeley Andrew Dorman For Claimants Harold E. Anderson, Susan F. Groberg, Dr. H. Carlton and Id

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Eugene E. & Margaret S. Sikes Claimants vs. Oppenheimer & Co., Inc. Bruce P. McGaugh Respondents CASE #92-01469 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimants Eugene E. & Margaret S. Sikes, who appeared Pro Se, alleged that Respondent Bruce P. McGaugh, Acc

NATIONAL ASSOCIATION OP 'BCURITIBS DEALERS, INC. CASE #92-01466 AWARD In the Matter of the Arbitration Between David w. Vickson Claimant vs. Titan Value Equities Group, Inc. IDM Securities Corp. Vince J. Finnegan Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant David W. Vickson, through his representative, Michael L. Paul, Woodland Hills, CA, alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01465 AWARD In the Matter of the Arbitration Between David R. Epstein Claimant vs. D.H. Blair i Co. Inc. vs. Thomas Gallo Respondent REPRESENTATION In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant David R. Epstein who appeared Pro Se, alleged that in February 1990 Respondent Thomas Gallo, an Account Executive with R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald and Jenny Yakin, (Claimants) vs. Klein, Maus & Shire, Inc., Maurice A. Gross, and Muhamrned Ali Kahn, (Respondents) Case Number: 99-03178 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Ronald and Jenny Yakin, hereinafter collectively referred to as "Claimants": David Wawro, Esq., Torys, New York, NY. Respondents, Klein, Maus & Shire, Inc. ("Klein"), M

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01460 AWARD In che Maccer of the Arbitration Between Richard H. & Sandy Turner, JTWROS Claimants vs. Edward D. Jones & Co. R. Wesley Harris Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimants Richard H. & Sandy Turner who appeared Pro Se, alleged that in May 1987 they purchased 2,000 sh

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01459 AMARD In the Matter of the Arbitration Between Esther Burstein Claimant vs. Alon R. Winton Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1992, Claimant Esther Burstein, who appeared Pro Se, alleged that Respondent Alon R. Winton made an unsuitable recommendation to purchase 1,000 shares of Sierr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elisabeth Y. Wilson 92-01457 of Shearson Lehman Brothers, Inc. Erik Littlejohn REPRESENTATION For Claimant: Elisabeth Y. Wilson (" Wilson") was represented by Reid Mclnvale. Esq. of Houston. Texas. For Respondent: Shearson Lehman Brothers. Inc. {"Shearson") and Erik Littlejohn ("Littlejohn") were represented by Janiece

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Kent W. and Ann E. Rudesill ;.,-- 92-01451 Name of Respondents Shearson Lehman Brothers, Inc. and Tom Marshall REPRESENTATION OF PARTIES For Claimants at the hearing: Robert E. Woods, Esq. of Briggs and Morgan, Minneapolis, Minnesota. For Respondents at the hearing: J. Jackson, Esq. of Dorsey & Whitney, Minneapolis, Minnesota.