NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between o (Claimant Dianne Cook * 92-00801 >fame of Respondents Merrill Lynch, Pierce Fenner & Smith Inc. and Derwin L. Vandergriff RRPRESF.NTATION Dianne Cook ("Claimant") was represented by James R. McKoon, Esq. and Michael Richards, Esq. of Heiskell, Donelson, Bearman, Adams, Williams, & Caldwell, Chattanooga, Tennessee. Merrill Lynch, Pierce, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Maxine Chappell Ann S. Holman Case No. 99-03094 Name of Respondent Sunset Financial Services, Inc. REPRESENTATION OF PARTIES For Maxine Chappell ("Chappell") and Ann S. Holman ("Holman"), hereinafter collectively referred to as "Claimants": Thomas L. Krebs, Esq. of Ritchie & Rediker, L.L.C., Birmingham, Alabama. For Sunset Financial Servic

PUBl/C NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between Roy J. Adams, TTBB, Roy J. Adams u/a/d 1/2/90 Roy J. Adams, TTBB, Roy J. Adams u/a/d 2/5/90 Roy J. Adams, Executor, Estate of Alfrec 0. Adams Claimant CASE f92-00797 vs. AMMO) Shearson Lehman Brothers, Inc. Respondent CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1992, Claimant Roy J.

N.A.S.D.AWAW, NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant " - Jerome Beckman vs. 92-00793 Shearson Lehman Brothers. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on March 5, 1992, Claimant Jerome Bflckman who appeared Pro Se. alleged that there was no continuity in the managing of his account at Respondent Shearson Lehman Hutton, Inc. and his

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Marvin Levin 92-00788 Name of Respondents Prudential Securities. Inc. Robert Grosnoff Robert Knauss REPRESENTATION Claimant Marvin Levin ("Claimant"): Anthony J. Horn, Attorney at Law. Respondents Prudential Securities, Inc. ("PSI"), Robert Grosnoff ("Grosnoff) and Robert Knauss ("Knauss"): Donald R. Levine, First Vice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John F. Nappy John Franklin & Associates, Inc. Case# vs. 92-00783 Name of Respondents Raymond James & Associates, Inc. REPRESENTATION John N. Nappy ("Claimant"), represented himself at the hearing. For Respondent, Raymond James & Associates, Inc. ("Respondent"), John N. Critchlow, Esq., in-house counsel. CASE INFOR

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald Shidell Claimant vs. G.K. Scott & Co,, Inc. John Ashley Respondents CASE #92-00780 AKARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992, Claimant, Gerald Shidell who appeared Pro Se, alleged that in March, 1989 he was referred to Respondent, John Ashley, account exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dante Gillono 92-00778 Names of Respondents Boettcher & Company, David R. Steinberg and Freddi B. Steinberg Claimant. Dante Gillono was represented by Kenet E. Chareau, Esq., Tucson, Arizona. Respondents, Boettcher & Co, David R. Steinberg and Freddi B. Steinberg were represented by William D. Nelson. Esq. of Robinson, Wate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^) Marvin and Flora Maria Negron Case No. 92-00776 Name of Respondent^ Advest, Inc. Joseph Karcagi REPRESENTATION For Claimants, Marvin and Flora Maria Negron ("the Negrons"): Catherine Nathan, Esq. of Brandeis, Bernstein & Wasserman. For Respondents, Advest, Inc. ("Advest") and Joseph Karcagi ("Karcagi"): William C. Freitag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (Catherine A. Schwartz 92-00774 Name of Respondent Russell G. Koch CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992. Claimant {Catherine A. Schwartz, who appeared Pro Se, alleged that in February of 1988 she and her husband were looking for a long term investment for their