N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leanna Lea Brown 94-01778 Name of Respondents Shearson Lehman Hutton n/k/a Smith Barney, Inc. Paul Henley CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1994, Claimant Leanna Lee Brown, through her representative, Robert M. Roth, Appleton, WI, alleged that her husband "basically" gave Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Audrey Chestney 94-01777 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Karen Joyce CASE SUMMARY In a claim filed with the'-National Association of Securities Dealers, Inc. on May 9, 1994, Claimant Audrey Chestney, through her representative, Martin J. Gofberg, Fort Lauderdale, FL, alleged that Respondents

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Gardner Rich & Company and 94-01775 Name of Respondent Beverly A. Pasley REPRESENTATION OF PARTIES Gardner Rich & Company ("Claimant") was represented by Michael Wise, Esq., Lawrence, Kamin, Saunders & Uhlenhop, Chicago, Illinois. Beverly A. Pasley ("Respondent") was represented by Deborah England, Esq., San Francisco, Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or' Claimants) Anthony Porco 94-01774 Name of Respondents) Lew Lieberbaum & Co., Inc. Camelot Investment Corporation Daniel Dunphy John Fasano REPRESENTATION For Claimant Anthony Porco: Joseph F. Keenan, Esq., of the law Firm of Bochat and Keenan, P.C. Garden City, New York. For Respondent Lew Lieberbaum & Company, Inc.: Lawren

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03059 Rafael Colon, claimant vs. Barington Capital Group, Inc. and Shawn Cantor, respondents. ATTORNEYS: Claimant, Rafael Colon, appeared pro se., Teaneck, NJ For Respondent, Barington Capital Group, Inc., appeared Stuart A. Jackson, New York, NY. For Respondent, Shawn Cantor, appeared Eden L. Rohrer, Esq., New York, NY. DATE FILED: June 11, 2001 CASE SUMMARY: Claimant alleged that

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant John H. Miller, Jr. and 94-01771 Name of Respondent Joseph A. Ondris REPRESENTATION OF PARTIES John H. Miller, Jr. ("Claimant") was represented by Hershel J. Shapiro, Esq., Denver, Colorado. Joseph A. Ondris ("Respondent") was represented by Terence J. Hart, Esq., Hutcheson & Grundy, L.L.P., Dallas, Texas. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lillian Link 94-01763 Name of Respondents Dean Witter Reynolds, Inc. William T. Torppey CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1994, Claimant Lillian Link, through her representatice, Martin J. Gofberg, of Securities Arbitation Centers, Inc., in Fort Lauderdale,. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Susan D'Agostino Susan Flanagan Donald Florence Barbara Grasso Denise Grasso Grasso Construction. Inc. David & Elaine Warwick Award No. vs. 94-01756 Name of Respondents Gilford Securities, Inc. Steven Kashian John Wise Linda Schwartz REPRESENTATION Claimants, Richard and Susan D'Agos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James R. Miller 94-01753 Name of Respondent Kemper Securities Group, Inc. Representation of Parties Claimant, James R. Miller ("Claimant") was present and was represented at the hearing by Mark J. Rogus, Esq. of Angermeier & Rogers, Milwaukee, Wisconsin. Respondent, Kemper Securities Group, Inc. ("Kemper") was present and was r

NASD AWARD . NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ray A. Smith, and Geraidine Smith, Claimants and No. 94-01752 Shearson Lehman Brothers, Inc., n/k/a Smith Barney Paine Webber Incorporated, Daniel Zessenger, and Prudential Securities, Inc., Respondents REPRESENTATION OF PARTIES Ray A. Smith, and Geraidine Smith ("Claimants") were represented by Edward C. Cody, Esq., St