PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaiinants William S. Willis & Julia Willis Spitz 92-00003 Name of Respondents Smith Barney Harris Upham & Co., Inc. Ronald H. Reisman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1992, Claimants William Scon Willis and Julia Willis Spitz, who appeared Pro Se, alleged tha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ftajne of Claimants Garland C. Friedrich and Virginia H. Friedrich 91-04022 Name of Respondents Rodman and Renshaw, Inc.; and Lester Jay Rodgers REPRESENTATION For Claimants: Garland C. Friedrich and Virginia H. Friedrich ("Friedrich") were represented by Marvin Klamen, Esq. of St. Louis, Missouri. For Respondents: Rodman & Renshaw, Inc. wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names nf Claimants Anthony F. & Nancy M. Podorski 91-04016 Names of Respondents Bear Steams & Company Interstate/Johnson Lane Corporation David A. Elgart REPRESENTATION For Claimants: Thomas R. Grady, Esq. of Grady & Associates, Naples, Florida. For Respondent, Bear Stearns & Company, ("Bear Steams"): Laura H. Robinson, Esq. and Paul St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Quick & Reilly, Inc., (Claimant) vs. Paul Cillis, (Respondent) Case Number: 99-02948 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Quick & Reilly, Inc., hereinafter referred to as "Claimant": John N. Thomas, Esq., Morgan, Lewis & Bockius LLP, New York, NY. Respondent, Paul Cillis, hereinafter referred to as "Respondent", did not enter an appearance in this m

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Beverly Ravitz and Frances Smith 91-03772 Name of Resoondentf si Gruntal & Co., Inc. Lee Firpo REPRESENTATION For Claimants, Beverly Ravitz ("Ravitz") and Frances Smith ("Smith"): Michael R. Casey, Esq. of Casey and Molchan, P.A. For Respondent, Gruntal & Co., Inc. ("Gruntal"): Eric Hutner, Esq. of Gruntal. For Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03743 AWARD In che Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Tom Carlisle Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 26, 1991, Claimant, PaineWebber, Inc. by and through their in-house counsel, Garry J. Stegeland, Esq., alleged that on or about December 14, 1984 Respondent Tom Carlisle,

N.A.S.D. Regulation, Inc. AWARD NASD Regulation In the Matter of the Arbitration Between Name of Claimant(s) Donald Zucker Edward Jackowitz 91-03634 Name of Respondent(s) Smith Barney, Inc., f/k/a Shearson Lehman Brothers, Inc., f/k/a E. F. Button & Co., Inc. REPRESENTATION For Claimants Donald Zucker and Edward Jackowitz: Robert B. Miller, Esq. and N. Fraser Schuh, Esq. of Muskat, Odessky, Miller & Schuh, P.A., Miami, Florida. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants J. Robert Horrigan Gwendolyn Horrigan NASD Arbitration No. 91-03548 Name of Respondents John R. Smith Kidder, Peabody & Co. REPRESENTATION For Claimant: Gregg A. Johnson, Esq. - San Diego, Ca. For Respondent: William H. Phelps, Esq. - Kidder, Peabody & Company CASE INFORMATION Statement of Claim filed: November

N.A.S.D. AWARD NATXCNAL ASSOdRITICK OF -SiJJUU I'l' 1 ^ In the Matter of the Arbitration. Between name of Claimant Catherine M. anith, NASD Arbitral-log No. 91-03457 its M. Ted Birr, UX Jaanetta Anne Beet For Claimant: Richard Sacks • Investors Recovery Service - Nbvato, Ca. For Respondent: Robert J. Stunpf, Esq. -Branson, Branson & McELnooa, San Francisco, Ca. StatsMnt of Halm filed: Hbwnber 4, 1391 Claimant's ft^arfgp^n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Lois M. and Robert C. Anderson NASD Arbitration No.91-03141 Name of Respondents Shearson Lehman Hutton, Inc. Michael Kramer REPRESENTATION For Claimants: David Robbins, Esq., Kaufinann Gildin & Karlin, New York, New York For Respondents: Michael M. Gless, Esq., Kcesal, Young & Logan, Long Beach, California CASE I