NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-01738 AWARD In the Matter of the Arbitration Between Harold L. Broman Claimant vs. Shearson Lehman Hutton Evan Bines Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 26, 1992, Claimant Harold L. Broman by and through his counsel Phillip M. Marshall, Esq. of Kinney Buch Mattrey & Marshall, Buffalo, NY, alleged that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John T. Shea Claimant vs. Advest, Inc. Respondent CASE #92-01725 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 22, 1992, Claimant John T. Shea, who appeared Pro Se, alleged that in February 1988 he discussed with Respondent Advest, Inc. by and through their broker, Ann Marie Brancato, the

PUBUC N.A.S.D. JWNRD AssocancH OF aacumrnES DEALHIS, INC. la the Matter of the Axtod Natala diaries Nannette Bryn illi, 91-01186 VUlliamA. EayM A>Mt Bfenageaoit, Inc. For dainanta: Bazold R. Buzka, E*q. of tb« !•» ^^^ of Dual For RMpondentr: Arthur C. Schupbach, Eaq. of the law fixm of WLlllan 6 of ^»< " filed on: April 15, 1391. dadnent f^»^mm Oonterelli, Truatee signed SulniMiaa Arjri"ini»nt ODS Jtpril U, 1991. B

j> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS S«eurtt*iO«aifn,t NASD Financial Can 33 Whit«h«M StrMt York. N«N Yor* In the Matter of the Arbitration Between Joseph M. and Mary Jane Aiello 91-01015 Mam* of Thomas James Associates, Inc. For Claimants: Iterance A. J. Mannion, Esq., Sole Practitioner. For Respondent: Susan A. Roberts, Esq. of Barter, Secrest, & awry. Claimants filed a Statement of Claim on March 26, 19

NWICKM. ASSOCZATZCK OP N.A.S.D. AfOKD DBtLEBS, DC. in the Matter of the Arbitration Name Devandra Fatal Damyanti Fatal 91-00759 Barrett Day Securitiea, Paul Kalley For RaepoBdenta: dadaanta a^yearad pro sa. Barrett Day Sacurltiaa, Inc. G. Nioai, Eaq. Paul Kailay Toy Stateunt of Claim filed cat Much 8, 1991. dainants 1 SutoisaicD Agreenaat signed ons Much 6, 1991. Joint Statement of Aoaiiat filed by Raopood

N.A.S.D. AWARD NftTICNRL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Vlnceat R. 91-00745 David Waddle Brothers, IDC. For Claimant: Gerald Kline, Esq. of Bauer, Deitch & Raines, P.O. in Atlanta, Georgia. For Respondents; Jamie Brownlee-Jordan, Esq. of Parker, Tfliriann, Rainer & Dobbs in Atlanta, Georgia. Statement of Halm filed: March 8, 1991. Claimant's Submission Agreement signed on: February

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ~ In the Matter of the Arbitration Between * * Janes Hhitall 91-00696 of PagnrmHorvt-q? Alex Brown & Sons Incorporated Michael Siefert For Claimant: William A. DeLorenzo, Esq., Solo Practitioner. For Respondents Alex Brown & Sons Inc. and Michael Siefert: Daniel Mclntyre, Esq., in house counsel for Alex Brown & Sons Inc. OISK Claimant signed a submission agreement on February

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Cynthia and Jay Herman Case No. 99-02863 Barnes of Respondents CIBC Oppenheimer Corp. Abbott L. Glasser Robert B. Herd, Jr. REPRESENTATION OF PARTIES For Cynthia and Jay Herman ("Herman"), hereinafter collectively referred to as "Claimants": Robert I. Claire, Esq., Boca Raton, Florida. For ODBC Qppenheimer Corp. ("Qppenheimer") and Robert

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell & Margery Handy 90-00974 Mane of PomrinH William Rosenberger B.C. Christopher Securities Company Blunt Ellis & Loewi Incorporated In a Stateoent of Claim filed with the National Association of Securities Coalers, Inc. ("NASD") on April 2, 1990, Claimants Russell aifl Margery Handy alleged that Respondent William Rosenbergec, while actin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Al Zelczer 90-00887 Prudential Securities, Inc. Bradford Hagerraan For Claimant: Stephen Willinger of Benesch, Friedlandler, Caplan & Arnof f For Respondent: Stephen J. Shine of Prudential Securities, Inc. Statement of Claim filed: March 26, 1990 Claimant's Submission Agreement signed on: March 15, 1990 Statement of Answer filed by Respondents,