N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Margaret R. Lottinville as Successor Trustee of the James O'Brien Trust dated January 3, 1977. is amended May 5, 1977, and Individually, and Patricia J. McAllister and Mary M. Fredricks, Individually No. 92-01427 Name of Respondents Prudential Securities. Incorporated Summit Investment Corporation. Richard Harr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Sammie H. Nasur Robert Frolich Amelia Polakowski vs. Case # 92-01426 Name of.Respondents PaineWebber, Inc. Prescott, Ball & Turben Thomas Potter Jeffrey Rush REPRESENTATION For Claimants Sammie H. Nasur, Robert Frolich and Amelia Polakowski. ("Claimants") John F. Chambers Esq. from the law firm of Chambers Stei

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I-i che Matter of the Arbitration Between Thomas 2. Fairbank Claimant CASE #92-01425 vs, AWARD D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1992, Claimant Thomas E. Fairbanks who appeared Pro 3e, alleged that Respondent D.H. Blair & Co., Inc. failed to secure information about his backgroun

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mathew Rothman and Barbara Rothman, JTWROS vs. The Investment Center, Inc. Houston Brokerage Services, Inc. Joshua D. Wallach Respondents Claimants CASE #92-01419 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 24, 1992, Claimants Mathew & Barbara Rothman, who appeared Pro Se, allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederick Juer 92-01417 Name of Respondent Dean Witter Reynolds. Inc. REPRESENTATION For Claimant at the hearing: Michael A. Meyer, Esq., Franklin. Tennessee. For Respondent at the hearing: George Sullivan. Esq. of Dean Witter Reynolds. Inc.. New York. New York. CASE INFORMATION Statement of Claim filed: April 22 .1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Russell E. Patterson Case ff vs. 92-01414 Name of Respondent Howard W. Bible REPRESENTATION For Claimant. Russeil E. Patterson ("Claimant"), David E. Shellenberger, Esq., from the Law Offices of David Shelienberger. For Respondent. Linsco/Private Ledger Corp. ("Linsco"), Michael Unger. Esq. from the law firm of Goldstei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant « Anne Abbott NASD Arbitration No.92-01407 Name of Respondents^ RAM Financial E.I. Sales, Inc. Chris Johnson REPRESENTATION For Claimant: Daniel R. Barbakow, Esq., Mannis, Barbakow & Lerner, Los Angeles, California For Respondents RAM Financial and Chris Johnson: Michelle R. Fron, Esq., Keesai,Young and Loga

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 99-03174 Name of Respondent Owen B. Bowers REPRESENTATION OF PARTIES For Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant": Pamela P. Warnement, Senior Vice President and Deputy General Counsel, Wachovia, Charlotte, North Carolina. Owen B. Bowers, hereinafter referred to as "Responde

NASD Arbitration No.92-01402 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gary D. Fraeiich Name of Respondents Shearson Lehman Brothers, Inc. L. Scott Crenshaw REPRESENTATION For Claimant: William R. Meyer, Esq., Meyer & Associates, Portland, Oregon For Respondents: M. Max Williams, n, Esq., Miller, Nash, Wiener, Hager & Carlsen, Portland, Oregon CASE INFORMAT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bertha Dean 92-01398 Name of Respondents Kober Financial Corp. Igor Cherednichenko REPRESENTATION Claimant Bertha Dean ("Claimant") was represented by Barbara Strapp Nelson. Esq. of McCarthy and Schtzman. Respondents Kober Financial Corp. ("Kober") was represented by: Paul R. Wood. Esq. of Hooper and Kanouff. P.C. R