N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howard P. and Iris Johnson, Trustees 94-01026 of Respondents D.H. Blair & Company, Inc. Naftali Feigenbaum REPRESENTATION For Claimants Howard P. Johnson and Iris Johnson, Trustees ("Johnsons"): Mark A. Tepper, Esq., Fort Lauderdale, Honda. For Respondent D.H. Blair & Company, Inc. ("Blair"): Todd C. Streckler, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard J. Annaian Richard Prevett Award No. 94-01024 vs. Name of Respondent Smith Barney Shearson, Inc. (formerly known as Shearson Lehman Brothers, Inc.) REPRESENTATION For Claimant: Richard J. Annaian, Richard Prevett ("Claimants"), David P. Brauer, Esq. from the law firm of Brauer and Brauer located in Medfield,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Bonnie W. Young and George C. Young 94-01019 Name of Respondents') J.C. Bradford & Co. Estate of James M. Heidt REPRESENTATION For Claimant: Shawn D. Stafford, Esq. of Atlanta, Georgia. For Respondent J.C. Bradford & Co., Claude O. Ramer, n, Esq. of Nashville, Tennessee . For Respondent Estate of James M. Heid

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suresh Wattamwar, Trustee and Administrator of Shri Drug Yojoo Pharmacy, Inc. Profit Sharing and Pension Plan 94-01017 Name of Respondents Prudential Securities Inc Robin Bhattacharya REPRESENTATION For Suresh Wattamwar (hereinafter referred to as "Claimant") appeared Krishnan Chittur, Esq., New York City, New York. For R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of c Theodore S. Duncan, IRA 94-01016 Name of Respondents Dean Witter and Gerald Weiner Representation of Parties Claimant, Theodore S. Duncan ("Claimant") was represented at the hearing Pro Se. Respondents, Dean Witter and Gerald Weiner (collectively, "Respondents") were represented at the hearing by David P. Restaino, Esq. of Dean

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Steve M. Molloy 94-01013 Name of Respondents Quick & Reilly CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 20, 1994, Claimant Steve M. Molloy, who appeared Pro Se, alleged that he purchased 900 shares of Cabot Medical Corp. stock from Respondent Quick & Reilly on June 14, 1993,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter, of the Arbitration Between Name of Claimant Nina Berger and 94-01008 Name of Respondent Paul K. Johnson REPRESENTATION OF PARTIES Nina Berger ("Claimant") was represented by Richard L. Bufkin, Esq., Dallas, Texas. Paul K. Johnson ("Respondent") was represented by George W. Fazakerly, Esq., Vial, Hamilton, Koch & Knox, Dallas, Texas. CASE INFORMATION The Statem

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerald C. Letch, Jr. and 94-00995~ The Principal/Eppler, Guerin & Turner, Inc. REPRESENTATION OF PARTIES Claimant, Gerald C. Letch, Jr. was represented by Edward S. Hubbard, Esq. of McFall, Sherwood & Sheeny located in Houston, Texas. Respondent, The Principal/Eppler, Guerin & Turner, Inc. (n/k/a Principal Financial Services, Inc.) was repres

NASD Arbitration No. 94-00833 N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between * Name of Claimant (a) Susan E. Barnes Name of Respondent(a) Suppes Securities, Inc. Mark Anthony REPRESENTATION For Claimant: Daniel J. Coplan, Esq., Los Angeles, California For Respondents: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California CASE INFORMATION Statement of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc., Claimant, Vs. First Union Securities, Inc., Respondent, and Robert W. Berry and Diane L. Spencer, Respondents/Counterclaimants/Third-Party Claimants, Vs. John J. Inhouse, III, Third-Party Respondent. Case Number: 01-02983 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES David F. McComb, Esq