NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00123 AMARD In che Matter of the Arbitration Between Earl C. Brown Claimant vs. J.W. Gant & Associates, Inc. Allen W. Branam Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 14, 1992, Claimant, Earl C. Brown, who appeared Pro Se, alleged that on or about October 7, 1991 he spoke to Respondent Allen W. Branam, a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Craig Mason, (Claimant) vs. RAS Securities Corp. and Max Goldstone, (Respondents) Case Number: 99-02955 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Craig Mason, hereinafter referred to as "Claimant": Eric W. Berry, Esq., New York, NY. Respondent, RAS Securities Corp. ("RAS"), hereinafter referred to as "Respondent": David Parsons, Esq,, Associate General Counsel

N.A.S.D. AWARD pi NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Simon Naparstek 92-00120 Name of Respondents Datek Securities Corp. Packard Group. Inc. Wellshire Securities Corp. R.H. Damon & Co.. Inc. Maurice Harroch REPRESENTATION For Claimant: Richard M. Resnik, Esq. For Respondent Datek Securities Corp: Simon S. Kogan. Esq. For Respondent Maurice Harroch: Ira I. K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Saul Berg 92-00114 Name of Respondents Prudential Securities Inc James Manetta REPRESENTATION For Claimant: Peter B. Skeel. Esq. of Swensen Perer & Johnson. For Respondent: Foster S. Goldman. Jr.. Esq. of Klett Lieber Rooney & Schorling. CASE INFORMATION Statement of Claim filed: January 13. 1992. Claimant's Submiss

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between Pickering Insurance Services Money Purchase Pension Plan V9. Linsco/Private Ledger Corp. Charles Porrello Claimant CASE #92-00059 AWARD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992, Claimant Pickering Insurance Services Money Purchase Pension Plan through its represent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC 1 In the Matter of the Arbitration Between" Name of Claimant Phillip S. Johnson and 92-00056 Name of Respondents Williams Buchanan & Co., Inc. and Avery Don Trumbo REPRESENTATION OF PARTIES Claimant was represented by Paul W. Talbot, Esq. of Seeligson & Steinberg, Dallas, Texas. Respondent Williams Buchanan & Co., inc. was represented by Jay Gibson, Esq. of True & Roh

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00055 AWARD In the Matter of the Arbitration Between Vincent E. Cuccio Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992, Claimant Vincent E. Cuccio, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow his instructions to not allow hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Cfaimantf s^ Paul & Monica Harvey Case NO. 92-00052 NajneofResrondentts} Dixon Dale Cruickshank Claimants, Paul and Monica L. Harvey ("the Harveys"): were PTQ $£. Respondent, Dixon Date Cruickshank ("Cruickshank"): was PJQ 5fi. CASE INFORMATION Statement of Claim filed: February 7, 1992. Claimants' Submission Agreement signed: April 2, 1

N.A.S.D. AHKKD OF -S)**Aft* 1 ' l ' TBg DEAl£RS In the Matter of the Arbitration Between of Brice Wesley Baath NASD Arbitration No.92-00051 Bear Steams & CD. , Inc. Bryan A. Perry ES< J., For RespcDdaats: Brian Zagca, Bag., Kaaeal, Young & Logan, San Franci Statanant of n»< « filedt January 7, 1992 Claimant's Sufcndsalon Agreeneat signed cot Ti^-mAw 30, 1991 Joint Statement of Anawer filedt February 7, 1992

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants - - Elisabeth Schulte and Ray Schulte 92-00045 Name of Respondents Legg Mason Wood Walker. Inc Terry Eisert CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1992. Claimants Elisabeth and Ray Schulte, who appeared Pro Se, alleged that they seldom trade and only