N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John B. Menzer and No. 90-03472 of Resondents Michael A. Giordano Anthony L. Havens REPRESENTATION OP PARTIES John B. Menzer appeared pro se. Michael A. Giordano appeared pro se. Anthony L. Havens failed to appear. CASE INFORMATION Statement of Claim filed: on or about December 7, 1990. Claimant '3 Submission Ag

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William A. Schneider Claimant vs. The Ohio Company and Richard Eastburn Respondents Case #90-03469 AHARD CASE SUMMARY William A. Schneider, in a claim filed with the National Association of Securities Dealers, Inc. on December 1, 1990, alleged that misrepresentation and negligence of his former broker at the Ohio Company, Richard Eastburn, cause

N.A.S.D. AWARD NKEKNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of t±e Arbitration Between Name of ^g^g^tte) Bully C. Mezera 90-03468 Mane of Respondent (a) Dreher & Associates, inc. MjrLon For Claimant: Emily C. Mezera. was represented by Peter J. Wifler, Esq. of Salvl, Salvi & Wifler, Lake Zurich, Illinois. Star Respondents: Dreher & Associates, Inc. and HTTtm Greenberg were represented by Nancy L. Plonk, Esq. and Steven B. Varic

N.A.S.D. AWARD NKTICNHi ASSOCIKnCM OF SECURITIES In the Matter of the Arbitration Between Barton G. Prieve and and 90-03466 Prudential-Bache Securities, Inc. n/k/a fccudeotial Securities, Inc. Claimants appeared pro se. Respondent VMS represented by Laurie Giolito, Esq. of Prudential Securities, Inc. New York, New York. Tie Statement of < n^m was filed on or about Deceotoer 7, 1990. Claimants* StfrnriwHcn Agreement signed on December 4, 1390.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yasmin M. Horvath, Claimant vs. GS2 Securities, Inc., The Ziegler Companies, Inc., Glaisner, Schilffarth, Grande & Schnoll, LTD., B.C. Ziegler & Company, Collopy & Company, Inc., Richard A. Schilffarth, Sr., Richard J. Glaisner, Peter D. Ziegler, Howard M, Schnoll, Donald I. Grande, Glenn N. Bruck, Raymond C. Krieg, Charles S. O'Meara, Dennis A. Wallestad, Maureen B. Oster, James

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; » I t Russi T. & Ava T. Suntoke, ; » Claimants ; CASE* 90-03465 i vs. AWARD Adam Kenneth Stern Respondent CASE SUMMARY Pro Se Claimants Russi T. and Ava T. Suntoke, in a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1990, alleged that because of false information provided to them by Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter ^f the Arbitration Between Patricia Lunn NO, 90-03463 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Philip Poster OF BURTEBS For Claimant: Peter King, Bsq. of Canal, Davis & King. For Respondents: Peter Cant well, Bsq. of Cantwell and Cantwell Statement of Claim filed: on or about December 5, 1990. Claimant's Submission Agreement signed on: December

N.A.S.D. AWARD NKTICHAI* ASSOCIATION OF SECURITIES maT,Rpe! In the Matter of the Arbitration. Between Earnest W. Dean, Jr., Esq. 90-03459 Name of Respondenta Pnlnrttetber, Doc. David A. KaJJozt For Claimant: Earnest W. Dean, Jr. represented himself. For Respondents: Joseph A. Vallo, Esq., Divisional Vice President, PaineWebber, Lac. Statement of Halm filed: December 7, 1990. Earnest W. Dean, Jr., 's ("CLaiaant") Submission Agreenent sign

N.A.S.D. NKTICNRL ASSOCIATION OF SECURITIES DEftUSRS Tn the Matter of "the 'Arbitration Between ) Gloria Berkowitz ) ) ) Case No: 90-03457 ) f OTRA Clearing, Inc. ) John Whitesides ) William Saydein ) Robert Cohen ) Nanette Gordon ) Heard before the members of the Arbitration Panel: Michael R. Casey, Esq. Public Bradley S. Bailey, Esq. Public Douglas Oelancy, Jr. Industry Claimant, Gloria Berkowitz ("Berkowitz"), was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03456 AWARD In the Matter of the Arbitration Between Barbara M. Vay Claimant vs. Oppenheimer & Co., Inc. Respondent CASE SUMMARY Barbara M. Vay, in a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, alleged that Respondent, Oppenheimer & Co., Inc., was negligent in supervising her account and recommended unsuitable, high-risk investmen