N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Marianne Johansen 91-03544 Name of Respondent(s) Paine Webber, Inc. Mariner Financial Services, Inc. Jon Fluetsch REPRESENTATION For Claimant Marianne Johansen: Ralph J. Sirlin, Esq. of the law firm of Neosti and Sirlin. For Respondents PaineWebber, Inc.: Paul Thomas, Esq. Mariner Financial Services Inc.: Frederick K.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Beatrice & Stanley D. Monsowitz Claimants CASE #91-03467 AWARD vs. The G.M.S. Group f/k/a/ Moore & Schley Municipals, Inc. Marc Strasser Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1991 Claimants Beatrice & Stanley D. Monsowitz who appeared Pro Se, alleged that Respondent

Award NASD Dispute Resolution, the. In the Matter of the Arbitration Between: Frank Ritter on behalf of Frank Ritter I.R.A. v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mary A. Robbs Case Number: 99-2978 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Frank N. Ritter on behalf of Frank N. Ritter I.R.A., hereinafter referred to as "Claimant": Waiter L. Baumgardner, Esq., Musilli, Baumgardner, Wagner & Parnell, St. Clair Shor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the Matter of the Arbitration Between ) Angelo A. Fanelly Case No. 90-03641 Barry A. Hofer Advantage Capital Corp. Business Benefits Of Akron, Inc. For Claimant, Angelo A. Fanelly ("Fanelly"): Dixon Thomas, Esq. For Respondents, Business Benefits of Akron, Inc. ("BBA") and Barry A. Hofer ("Hofer"): Michael A. Malyuk, Esq. of Roderick, Myers & Linton. For Respondent, Advantage Capi

N.A.S.D. AWARD NATICNM. ASSOdftnCK OP SECORTEES DEALERS In the Matter of the Arbitracica Between Of Vasiliki Douglas NASD Arbitration Mb. 91-03235 F. White & Co. KOncr G^^^^^^^^^°^ For Claimant; Irwin Stein ----- For Respondent; Patrick Baldwin, Esq. - Meolo Park, California Statement of Haim filed: October 16, 1391 Claimant's Submission Agreement signed on:Septenber 5, 1391 Statane&t of Anstmr and Counterclaim filed by Respondent, T

N.A.S.D. AWRED ^VPffl" * _! LRTTCtT OF In the Matter of the Arbitration Between of Douglas J. Beseta J vs. NRSD #91-032U PaineWefcfoer, lac. Gragoory Wallace For CLaJmant: H Ttonaa Pdm, Esq., Fields, Fehn. & Sbexwin, Los Angeles, For Respondents: Judy Louis, Esq., FaineWabber, Inc., Los Angeles, CBBB Statement of Halm filed: October 15, 1991 Claimant's Submission Agreement signed: September 24, 1991 Joint Statement of Answer file

N.A.S.D. AWARD NATIONAL ASSOCQTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ttoluca Pacific Securities Corporation NASD Arbitration Kb. 91-03029 f Respondeata Mark Shoorak Kara ShmoraJc Dr. Frank Tacas Hal B. Phillips Douglas J. Phillips Phillips MsoagsDent Services NASD Arbitration Mo. 91-03203 Tbluca Pacific Securities Corporation Peter Blowitz SS Far Itiluca Pacific Se

N.A.S.D. AWARD NATICNAL ASSOCIATICN OP SECURITIES DEALERS In the Matter of the Arbitration Between Arthur Ashley Williams Foundation Case* vs. 91-03060 T*^ ' r d E.F. Button & Conpany, Inc. Sbearson T^hmnn Brothers, Inc. Robert Sarly vs. Third Party Respondent Clanent T. Lambert For Claimant: Patrick G. Finegan, Jr., Esq. For Respondent: George Richardson, III, Esq. of Shearson TieViran Brothers, Inc. Statement of

N.A.S.D. AWARD NXTICNAL ASSOCianQT OF SfcXmiTIES DEALERS In the Matter of the Arbitration Between. Thorns H. J. Tcnassen vs. NASD #91-02920 Mans of T.aVBTnrn, BXOtBBZS, IOC. Alan E. Shenker ciatdjoants For Respondents: John E. Jeokins, Esq., SbaaxscKi Lebnan Brothers, Inc. , Hew York, New York Statanoit of rn»< " filed: Septeoter Id, 1991 Claimant's Sulsnisaioa Agzecmetxt signed: Septcnber 9, 1991 Joint Statement of Answer filed by Ke

N.A.S.D. AWWZD ASSCdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of >ert J. Blnftele 91-02782 of Rea" rtnrfA "t(3) i f inc. Den Dalia Fee Claimant: Ibomas Watts, Esq. For Respondent: Colin Swainston, Esq. of Keesal Young and. Logan Statement of Halm filed: Septenber 5, 1991 Claimant's Subotissico AgsesnesA signed on: August 29, 1391 Joint Statement of Answer filed by Respondents on: October 31,