N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Frederick R. and Hilda S. Huntress 92-01228 Names of Respondents Prudential-Bache Securities Inc., n/k/a Prudential Securities. Inc.. Michael Marsh and William Sellens Claimants were represented by Charles R. Hoover, Esq. of Phoenix, Arizona. Respondents were represented by Jesse B. Simpson, Esq. and Margaret R. Russe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sun Yung Kim Yongyop Kim Claimants CASH #92-01227 vs. AWARD Frank Hemmen Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1992, Claimants Sun-Yung Kim and Yongyop Kim who appeared Pro Se, alleged that Respondent Frank Hemmen of Shearson Lehman Brothers, Inc. recommended they buy Allia

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Nocera, (Claimant) vs. Jeffery Lent and Tucker Anthony, Inc. (Respondents) Case Number: 99-03159 Hearing Site: Boston, Massachusetts Claimant, Michael Nocera, hereinafter referred to as "Claimant": Grover S. Parnell, Jr., Esq., Finneran & Nicholson, PC, Boston, MA. Respondents, Jeffrey Lent ("Lent") and Tucker Anthony, Inc. ("Tucker"), hereinafter collectively referred

ASSOCIATICtT OF H.A.S.D. MOOD DEH£SS In tha Matter of tha Arbitration Between Brie Matenoan vs. 92-01225 Kennedy, Cabot & Ccnpany, IDC. William Ferrin dalSHQt: R. ESQ., gh*n>*«ut CelCS, For Respondents: George Bupper, Esq., Kennedy, Cabot & B«v«rly Hills, Oaopany, Inc., Statannt of Claim filed: April 6, 1392 Claimant's Suhni-ssioD AQEeeomt «^jf|u»5 CBJ Zftuccb 26, 1992 Joint Statanent of ADUMVT filed by Respcodaats: JOm 4

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Zoltan Balog Claimant vs. Moritz R. Hofstetter A.G. Edwards & Sons, Inc. Respondents CftSB #92-01223 AMARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1992, Claimant Zoltan Balog, who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc., through it's registered representat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Jeanne S. Samples No. 92-01221 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Stephen C. Neff REPRESENTATION OF PARTIES For Claimant: David C. Anson, Esq. of DeConcini, McDonald, Brammer, Yetwin & Lacy, Tucson, Arizona. For Respondents: Dennis M. Pape, Esq., Vice President, Office of the General Counsel, Merrill Lynch, Pierce, Fenner & Smith,

'..A.b.D. .-.V.'ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS :n me Matter < >t me .uoirrauon Beween Robert iussman. M.D. 92-01220 Name of Respondent Prudential Securities. Inc. Claimant Roben Sussman. M.D. ("Claimant"): Arthur M. Schwartzstein. Esq. Respondent Prudential Securities. Inc. ("Respondent"): Gilbert Boyce. Esq. of the law firm or Kutak Rock. CASE INFORMATION Statement of Claim filed on: April 6. 1992. Claimant's Submission A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Perenich, Carroll, Perenich, Avril & Caulfield, P.A. 92-01209 Name of Respondents Smith Barney Harris Uphara & Co., Inc. Edward J. Warticki For Claimant, Perenich, Carroll, Perenich, Avril & Caulfield, P.A. ("Perenich"): Henry Sanchez, Jr. , Esq. of Page and Bacek. For Respondents, Smith Barney Harris Upham & Co., Inc. ("S

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nelson R. Herron 92-01208 Name of Respondent Global America. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 7, 1992, Claimant Nelson R. Herron, who appeared Pro Se, alleged that in late August, 1990, he purchased shares of Auto Depot ("AUID") by and through Barry

Arbitration National Association of N A c n AW/ABO Securities Dealers, inc. N.A.S.D. AWARD NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS £" ew York N Y 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Scott Belodoff 92-01207 Name of Respondents Rosenkrantz Lyon & Ross Michael Eisenberg For Claimant Scott Belodoff ("Claimant"): Bruce Belod