NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE t90-Q3652 AWARD In the Hatter of the Arbitration Between Todd Braunfeld Claimant vs. Stuart-James Co., Inc. Gregory Small Respondents CASE SUMMARY Todd Braunfeld, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1990, alleged that; Respondent Gregory Small, while employed at Stuart - James Co . , Inc . executed an unauthorized

NATIOHAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : • • Judith S. Burnett Claimant Kemper Financial Services Inc. Advest, Inc. CASE *90-03651 AWARD Respondents t SUMMARY Judith S. Burnett by Geoffrey S. Simril having Power of Attorney for Claimant, in a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1990, alleged that Respondent Kemper Financial th

HATIONAL ASSOCIATION Or SECURITIES DEALERS, INC. In the Matter of the Arbitration Between The Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Claimant vs. Lincoln Herzeca, Jr. Judy Herzeca Respondents CASE #90-03649 AWARD CASE SUMMARY Claimant by its attorney David A. Goldman, Wexler & Burkhart, P.C., Garden City, NY, in a claim filed with the National Association of Securities Dealers, Inc. on December 2

N.A.S.D. AWARD NftTICNRL ASSXIXTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of P^tainyiTflifa^ Samuel Berg 90-03648 Name of Rescondentfsl Lynch, Pierce Fenner & Smith Inc For Claimant: In Pro Se For Respondent; James R. Cunnings, Esq. Statement of Claim filed: Ettomtoer 28, 1990 Claimant's Submission Agreement signed on: November 28, 1990 Statement of Answer filed by Respondent, on: March 25, 1991 noopondo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ° Harry A. and Joan M. Schmidt 90-03646 Maine f SCT Blunt Ellis & Loewi Incorporated Jacque Maad I ii Claimants, Harry A. Schmidt and Joan M. Schmidt, appeared pro se. Respondents Blunt Ellis & Loewi and Jacque Mead were represented by Timothy E. Hays, Esq. In a statement of claim filed with the National Association of Securities

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Georgia Capital Partners, Inc. d/b/a Traders Advantage Case No. 99-02945 Name of Respondent Francis J. McMahon, Jr. REPRESENTATION OF PARTIES For Claimant Georgia Capital Partners, Inc. d/b/a Traders Advantage ("Traders") hereinafter referred to as "Claimant": Jeffrey W. Willis, Esq. of the law firm of Rogers & Hardin LLP, Atlanta, Georgia.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Milan E. Chilla Claimant vs. Piper, Jaffray and Hopwood, inc. and John L. Brown Respondents Case #90-03644 Award CASE SUMMARY Milan E. Chilla, Pro Se Claimant, in a claim filed with the National Association of Securities Dealers, .Inc. on December 28, 1990, alleged that Respondents, Piper, Jaffray and Hopwood, Inc. and John L. Brown, provide

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Matthew and Mante Yedlin vs. NASD Arbitration No. 90-03638 Olde Discount Corporation victoria Black For Claimant: Michael L. Paule of Investors Arbitration Services, Inc. For Respondent: Julie D. Reed, Esq. of Olde Discount Corporation CRSP Statanent of Claim filed: June 28, 1990 Claimants' Submission Agreement signed on Decanter 17, 1990

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Judith I. Brunton No. 90-03635 Name of Respondents Anchor National Financial Services, Inc. Frank G. Kelbel REPRESENTATION OF PARTIES For Claimants: James A. Bolt, Esq. For Respondents: Thomas R. Schrimpf, Esq. of Hinshaw and Gilbert son. CASE INFORMATION Statement of Claim filed: December 21, 1990. Claimant's S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Montfort and Janis Montfort Claimants Award vs. Fidelity Brokerage Services, Inc. Respondents Case #90-03634 Robert E. Warner Public Arbitrator CASE SUMMARY Frank and Janis Montfort, in a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, alleged that Respondent Fidelity Brokerage Services, Inc., fai