N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Barney vs. NASD #92-00239 Name of Respondents Bear Steams & Company Mitch Pindus OppenJieimer & Company For Claimant: Michael A. Bertz, Esq. of Los Angeles, California. For Respondents' (Bear Steam & Pindus): Anthony Pacheco, Esq., of McCambridge, DeixJer, Marmaro & Goldberg, Los Angeles, California. f- ,* F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00238 AWARD In the Matter of the Arbitration Between Mary Jane Hogue Claimant vs. Cowen & Company Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Mary Jane Hogue, who appeared Pro Se, alleged that her Account Executive R. Julian Robinson, former Vice President of Respondent Cowen & Company, de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00237 AWARD In Che Matter of the Arbitration Between Debra A. Fetzich Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas Butenhoff Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant, Debra A. Fetzich who appeared Pro Se, alleged that in February 1990 she contacted Respondent, Thomas

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *92-00234 AKARD In the Matter of the Arbitration Between Anne E. Olsen Claimant vs. Thomas E. Hilldore Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Anne E. Olsen who appeared Pro Se, alleged that in September 1986 she was introduced to Respondent Thomas E. Hilldore, Assistant V.P. of Inv

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE t92-00229 AWARD In the Matter of the Arbitration Between Peter Hsia & Sheau-Yin Hsia, JTWROS Claimants vs. Stratton Oakmont, Inc. Christopher Pinkie Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Peter Hsia & Sheau-Yin Hsia> who appeared Pro Se, alleged that Respondents Stratton Oatanont, Inc.

NJUS.D. AHKRD HKTBUab ASSOCXATICN OP In the Itotter of the Arbitration of 92-00228 r>j •< ••«»*•, ficbert J. Scaxaxo, appeared gggje. Far Peepmrtenf Alan Bixfcleyt Jane J. Maylan, Eaq. of AMociatM, US)., Chicago, TTHnrvta. J. Moyln and Sta of Claim filed: January 21, 1992. of Answer tiled by Respondent, Alan Bizkley cnt ttxch 9, 1992. NASD doee not have any evidence of P^T^*"*- Alan Bizkley having filed a 1*4 Mav4 4WI 4*A aYvfo4 4*W^4

N.A.S.D. AHAHD NATICNMi ASSOCXRTICN OP SBCUkiTUBS DEALERS In the Matter of the Arbitratioa Between Maltzer Family Trust 92-00227 Kane of RffisncnrVnt(s) Quick and Reilly, IDC. nnrmld Priaosch William Lanaburg CLadnent: tne Maltzer fteily Trust *mm r%ji'«a^tLal by Nfcthan Maltxer. Pbr RMpcndaata: Quick and Itoilly, Inc., Dcoald Prtnoocb and WUliaa landauxg VMM rqn:M«ntod by Jna^ah Ooicso of Quick and Railly, Doc., York, New York. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Johnston Lemon & Co. Award #92-00218 vs. Names of Respondents William Smith and Paula Michaels Names of Thjrd Party Respondents Robert Boorman James H. Lemon, Jr. Patrick Ryan Donald E. Clem Morgan Stanley & Co., Inc. Louis Ricciardelli T«rry Nolan REPRESENTATION For Claimant Johnson, Le

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03049 Stanley Sechrist, claimant vs. Suretrade, Inc., respondent. ATTORNEYS: Claimant Stanley Sechrist ("Claimant"), appeared Pro Se., Lewisberry, PA. For Respondent Suretrade Inc. ("Respondent"), Yolande D, Black, Assistant Director of Compliance for Suretrade, New York, NY. DATE FILED: 7/6/1999 CASE SUMMARY: Claimant alleged that due to Respondent's erro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me Matter or the Arbitration Between .\ T ame of Claimants Paul & Lois Fransceila .Trustees 92-00215 Name of Respondents Prudential Secunties Inc Drew Sikorski REPRESENTATION For Claimants: Phillip M. Marshall. Esq. of Kinney. Buch. Mattrey & Marshall. For Respondent. Prudential Securities. Inc.: Paul K. Stecker. Esq. of Phillips. Lytle. Hitchcock. Btaine & Huber. F