N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Raymond D. Sunday and Ethel V. Sunday and 92-00607 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OP PARTIES Claimants Raymond D. Sunday and Ethel V. Sunday appeared pro se. Respondent Shearson Lehman Brothers, Inc. was represented by Bradley W. Foster, Esq. and C.W. Flynn, Esq. of Locke Purnell Rai

Arbitration ' NASD AWARD NationalAssodattonof Securlttos DMtort, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 -——77 ———— : r FAX (212) 858-4389 In the Matter ot the Arbitration Between Name of Claimants Gary Loupassakis and Joyce Loupassakis 92-00606 Name of Respondents Prudential Securities Inc Jeffrey Moruzzi Nunzio Garzino REPRESENTATION For Claimants Ga

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of' the Arbitration Between Name of Claimants Thomas and Laura Bittnor 92-00603 Name or' Respondents Bear Stearns & Co.. Inc. Jerome Glickman Steven Urcia REPRESENTATION For Claimant: Boris J. Lewyckyj, Esq., a sole practitioner. For Respondents: Hartley T Bernstein. Esq., of the law firm of Brandeis. Bernstein & Wasserman CASE INFORMATION Statement of Cl

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00600 AWARD In the Matter of the Arbitration Between Marc D. Marchetti Claimant vs. A.G. Edwards & Sons, Inc. Charles P. Donovan, Jr. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 19, 1992, Claimant Marc D. Marchetti who appeared Pro Se, alleged that in June 1984, Respondent Charles P. Donovan, Jr

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Helen M. Leff Case No. 99-03062 Names of Respondents Raymond James & Associates, Inc. William Hoyt REPRESENTATION OF PARTIES For Claimant: Stephen A. Baker, Esq. of Allan & Shipp, P.A., St. Petersburg, FL. For Respondents: James D. Sallah, Esq., Associate Corporate Counsel, Raymond James & Associates, Inc., St. Petersburg, FL. On April 20, 2000, Frederi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kenneth M. Seaton and 92-00490 Name of Respondents Prudential Securities, Inc. William McCall REPRESENTATION OF PARTIES Kenneth M. Seaton ("Claimant") was represented by James W. Panis, Esq., Bernstein, Stair & McAdams, Knoxville, Tennessee. Prudential Securities, Inc. and William McCall ("Respondents") were represented b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraidine Fallot 92-00396 Name of Respondent James Scovic For Claimant: Nathaniel Abbatte, Jr., Esq. of Garratt & Evans, P.C. For Respondent: Brian Zahra, Esq. of Dickinson, Wright, Moon et. al. CASE INFORMATION Statement of Claim filed: January 28, 1992. Claimant's Submission Agreement signed on: January 28, 1992. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEST In the Matter of the Arbitration Between Name of Claimants ) Peggy and Boyd Black Case No. 92-00387 Name of Respondents) Profile Investments Corporation OTRA Clearing Inc. REPRESENTATION For Claimants, Peggy and Boyd Black ("the Blacks"): Howard N. Kahn, Esq. of Atlas, Pearlman & Trop, P.A. For Respondent, Otra Clearing, Inc. ("Otra"): Scon G. Monson. Esq. of Otra. Respondent,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants W. Fox & Company, Inc.: Eric Hilton. Jr. and Don Weiler 92-00383 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; Don Spivey REPRESENTATION For Claimant: W. Fox and Company, Inc., Eric Hilton, Jr. and Don Weiler were represented by Joseph A. McDennott, m, Esq. of Soape Brown McDermott, located in Houston. Te

NRUCNAL ASSOCIAirCN OF N.A.S.D. AWARD DEALERS In tba Matter of the Arbitration 92-00382 Adams Securities, Inc. Janes W. Adams Daniel Ferry Erik Peterson For Claimant: Paul W. "Haanas, Esq., For Respondents James W. Adams and Daniel Perry: H Tbcnas Febn, Esq., Fields, Febn 6 Sberwin, Los Angeles, f>1if«••**» For Respondents Adams Securities, Inc. and EriJc Peterson: Mb Appearance by Respondents Adams Securities, Inc. and Erik Peterson