Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Arnold S. Noler, (Claimant) vs. Chase Manhattan Bank, (Respondent) Case Number: 99-03130 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Arnold S. Noler, hereinafter referred to as "Claimant", appeared pro se. Respondent, Chase Manhattan Bank, hereinafter referred to as "Respondent": Michael A. O'Connor, Esq., Vice President and Assistant General Counsel, Chase Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) PUBLIC Gerald R. and Linda M. Bryan 92-00980 Name of Respondents) Kidder. Peabody & Co.. Incorporated Thomas W. Fox REPRESENTATION For Claimants Gerald R. and Linda M. Bryan: Louis C. Alvin, Esq. sole practitioner. For Respondents Kidder, Peabody & Co.. Inc. and Thomas W. Fox: Richard Kelly. Esq. in- house counsel at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between " Name of Claimants Charles & Lola Wentz 92-00977 Name of Respondents Shear son Lehman Hutton. Inc. Roben Simmen RJgplEff DENTATION For Claimants at the hearing: Bruce Pearson of Fargo, North Dakota. For Respondents at the hearing: Skip Durocher, Esq. of Dorsey & Whitney, Minneapolis. Minnesota. CASE INFORMATION Statement of Claim f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marion H. Randolph, Jr. 92-00976 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimant: Marion H. Randolph. Jr. For Respondent. Prudential Securities, Inc.: Debbie C. Stone. Esq. CASE INFORMATION Statement of Claim tiled: March 19, 1992. Claimant's Submission Agreement signed on: March 10, 1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant? s) Eugene P. Ancel 92-00971 Name of Respondent^) Thomas lames Associates, Inc. REPRESENTATION For Claimant, Eugene P. Ancel ("Ancei"): Joseph S. Williams, Esq. For Respondent, Thomas James Associates, Inc. ("Thomas James"): Susan A. Roberts, Esq. of Haner, Secrest & Emery. CASE INFORMATION Statement of Claim filed: Mar

W.A.S.D, AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration of Dale M. Long and Vicfci L. Long, individually and as Trustee* of the 0«JLe M. Long, P.O. profit Snaring Plan and the Dal* M. Long, ?.C. Pension Plan and 92-00919 PaineHebber, Inc. and Trent D. Stiles RBPRESMITA'PTQfl Q? PARTIES Claimants were represented by Dennis B. Polk, E»q. of Holley, Albertaon, & Polk, F.C., Golden, Colorado.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e nf The Estate of Norman Davidson, Jr. and the Norman Davidson, Jr. Trust NASD Arbitration No. 92-00918 Name of Respondent^} Bear Steams & Co., Inc. Edward Buliavac Andrew E. Haas For Claimants: James L. Sanders, Esq., Sheppard, Mullin, Richter &. Hampton, Los Angeles, California For Respondents: Samuel A. Keesal, Jr., Esq. and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f92-00917 AWARD In che Matter of the Arbitration Between Wallace H. Rosenbaum Claimant vs. Chacfield Dean & Co., Inc. Sanford Greenberg Robert Lueke William Lasley Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1992, Claimant Wallace K. Rosenbaum, who appeared Pro Se, alleged that Respondent Robert Lueke, th

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Nicholas P. Zackoff 92-00913 Name of Respondents/Counter-Claimant Masterson Moreland Sauer Whisman. Inc.; Thomas W. Masterson REPRESENTATION For Claimant/Counter-Respondent: Nicholas P. Zackoff ("Zackoff 1 ) was represented by Broadus A. Spivey, Esq. and Thomas P. Prehoditch, Esq. of Spivey, Grigg, Ke

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00911 AWARD In the Matter of the Arbitration Between Alexander Toibman Claimant vs. Pacific Brokerage Services, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 16, 1992, Claimant, Alexander Toibman, who appeared Pro Se, alleged that on December 4, 1991 he instructed Respondent, Pacific Brokerage Services, Inc. to