N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s> John and Debi Tamsett 92-01019 Name of Respondent^) Edward D. Jones & Co. Kevin Batliner For Claimants, John and Debi Tamsett ("the Tamsetts"): pro se. For Respondents, Edward D. Jones & Co., ("E.D. Jones") and Kevin Batliner ("Batliner"): Cynthia A. Doria, Esq. of Edward D. Jones < fc Co.. CASE INFORMATION Statement

N.A.S.D. AWARD NATICHAL ASSOCIATICN OF SHUKI'l'liB EEXLBRS In the Matter of the Arbitration Between T Name of Claimant (s) ) Donald a. and Cynthia F. Brock ) ) Case No. 92-01018 Wheat First Securities, me. ) Scott Littlefield - ) For Claimants, Donald and Cynthia Brock ("the Brock*"): Kenneth Kirknan, Eaq. of Kirkoem 6 Khitfanl, P.A. For Reepondaabs , Hhaat First Securitiea, Inc. ("Ibaat") and Scott Littlefield ("Littlefield"): Jbtnathan Pow

NRTIOKMi ASSOCIATTOH OP SBCDRTTIBS DEALERS, INC. In the Matter of the Arbitration Between Abram Speiser Trust, Bernie W. Speiser, TTEE Claimants CASE #92-01016 AHARD vs. Kober Financial Corp. Bonnie Motyka Respondents CASH STOMARY In a claim filed with Che National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Abram Speiser Trust through its representative, Bernice W. Speiser TTEE, alleged that Responden

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hank J. Wolfert Claimant vs. CASE #92-01010 AWARD Sands Brothers & Company Ltd. Robert J. Bonaventura Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on March 23, 1992,.Claimant Hank J. Wolfert by and through his counsel James A. Stanziola, Esq. of Perry & Hamill, Overland Park,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofCIaimant Peter Shelley 92-01006 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1992, Claimant Peter Shelley, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. failed to execute an order to sell 1,000 sha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In i no Matter or the Arbitration Between Name ft CUiimatys John A: Diva Brulhnann Name of Respondents National Financial Services Corporation Brian Mitchell \ustm Securities. Inc. REPRESENTATION For Claimants John i: Diva Brullmann ("Claimants"): John Brullmann represented the Claimants. For Respondent National Financial Services Corporation i"NFSC'"): Michael Shannon. Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim^nj Stuart H. Lessans 92-00989 Name of Respondents Donald M. Faulkner Branch Cabell & Co. REPRESENTATION For Claimant Stuart H. Lessans ("Claimant"): Elina Y. Hum, Attorney at Law and Mark Kotlarsky, Attorney at Law. For Respondents Donald M. Faulkner ("Faulkner") and Branch Cabell & Co. ("Branch Cabell" hereinafter collect

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00987 AWARD In the Matter of the Arbitration Between Robert E. & Marjorie L. Tevis Claimants vs. First Choice Securities Lisa Fertman Jay Fertman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1992, Claimants Robert E. & Marjorie L. Tevis, who appeared Pro Se, alleged that on July 8, 1991 Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kathleen A. & Maureen A. Ferguson - Claimant vs. CASE 892-00986 AWARD James Minella Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 20, 1992, Claimant Kathleen A. & Maureen A. Ferguson who appeared Pro Se, alleged that on November 6, 1989 they entered the Prudential Bache High Yield Fun

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #92-00981 AWARD In the Matter of the Arbitration Between Charles J. Thorne Claimant vs. Wedbush Morgan Securities, Inc. Wilshire Discount Brokerage* Services Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1992, Claimant Charles J. Thorne, who appeared Pro Se, alleged that Respondents Wedbush Morgan Se