NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00208 AWARD In the Matter of the Arbitration Between Susan Nielsen Claimant vs. A.G. Edwards & Sons, Ine. Ronald Billings Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992 Claimant Susan Nielsen, who appeared Pro Se, alleged that in July 1989 she was awarded half of her former husband's IRAs through a di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of lii LaMar Dugan, Hollis B. Logan. - - Don W. Lieberknecht and Harry F. Chapman and 92-00204 Name of Respondents Bear, Stearns < & Co., Inc. and Timothy J. Faust OF PARTIES Claimants LaMar Dugan, Hollis B. Logan, Don W. Lieberknecht and Harry F. Chapman were represented by Coyt Randal Johnston, Esq. of Johnston & Budner, Dallas,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Vincent Belmonte and Anita Busciglio 92-00199 Name of Respondents Prudential Securities Inc Arthur Dickert REPRESENTATION For Claimants: Susan N. Perkins. Esq., a sole practitioner. For Respondents: Allen Meyer. Esq. and Richard Miller. Esq. of Katten Muchin & Zavis. CASE INFORMATION Statement of Claim filed: January 1

N.A.S.D. AWARD NATIONAL ASSOdXTICN OF Htf?JH.VV-ii*t DBaUSRS In the Matter of the Arbitration Betnieen Raymond Smith. Isabella M. vs. 92-00198 Sutro & Qp, T Kirk G. Aguer For Claimants; Jbaeph L. Stogner, Esq./ O'Brien, Whttera, Dsvi* & Piaata, For Reajxaodeflt Sutro 6 Co. Inooaporatadj J«ffray J. Cole, Eaq., Jadcaon, Tufts, Cole & Blade, San Francisco, Oi11f< im1a For Respondent Klxk G. Agueri Bruce Bryaon, Eaq., San Rafael, Statanan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Name of Claimant Mary Thompson 92-00197 Name of Respondents Shearson Lehman Brothers. Inc. Lawrence Stauffer For Claimant: Horace W. Baggot. Esq., a sole practitioner. For Respondents: Kevin J. O'Brien. Esq. of Coolidge Wall Wolmsley & Lombard. CASE INFORMATION Statement ot" Claim filed: March 9. 1992. Claimant's Submission Agreement si

N.A.S.D. AHMED ASSOCOTICN OF SBCOBITISS In the Matter of the Arbitration Bel Ai trill •Umi National Association of Securities Motor*, Inc. NASD Financial Canter 33WhitehaflStreat New York, N.Y. 10004 FAX (212) 858-4389 Phyllis B. Wells 92-00135 Vf^a^MdAJBiiiBBDV • Joe 0. Walls Co., me. Foar nniimni- Snyllis B. Mails ("CLaiaant"): & M. Spetnagel, of Spetnagal For RMprrrtmt Cppenbeiner & 00. ("Oppenheiner 11

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00188 AHARD In Che Matter of the Arbitration Between Emil Gurwitz Trust, Emil Gurwitz, as TTEE Claimant vs. Prudential Securities, Inc. Larry Starr Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Emil Gurwitz who appeared Pro Se, alleged that on February 2, 1989 Respondent, Larry Starr, an a

N.A.S.D. NRTICHAL ASSQCDCTICN OF SBCDRirnS in the Matter of the Arbitration Between NASD Mb. 92-00185 C. Kyma For Claimant: In Pro Per Fbr Basrimrimt: Michael E. Cinay, Esq., of Merrill,Lynch, Fierce Passer & p«itb, New York, New York. Statemoat of Halm fileds January 20, 1332 Claimant's Subni00ioo Agreement g^g"^yl gpi Jaouazy 13, 1S92 Statenent of Anonmr filed by Seqpcodent, on» Murh 23, 1992 Seqpcpdmt, '3 subndssica Agreement algned c

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott K. Ginsburg, (Claimant) vs. Goldman, Sachs and Company (Respondent). Case Number: 99-3041 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Scott K. Ginsburg ("Claimant"): Joe Harrison, Esq., Robert L Wright, Esq., and Elaine A. Murphy, Esq.: Gardere & Wynne, L.L.P., Dallas, Texas. Respondent, Goldman, Sachs and Company ("Respondent"): Eric J.R. Nichols, Esq. a

N.A.S.D. AWARD NATIdttL ASSCCIKCKIJ OP SHCUBITIBS DEALERS In the Matter of the Arbitration Between Victoria M. Ayres VH. NASD #92-00184 of Ibluca Pacific Securities Cbrp. William Alvorsoa For Claimants Steven Vtasaernen, Esq. and Sarah Xucas, Eaq. of Scdgtdcfc, l^ g»n ItCBOCiSCO/ < j"T ^ fnmA * For Reapcndantai Ibluca Pacific Securities (Tbluea) t gh t 1 '** > M. Jaffa, Eaq. , William Alvacaen (Alvaraco) i Micha«l