N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') PaineWebber, Inc. 94-00584 Name of Respondents) Steven A. Norton CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1994, Claimant PaineWebber, Inc., through its in-house counsel, Joseph Generelli, Esq., alleged that Respondent Steven A. Norton voluntarily resigned fr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name j)f Claimant lames E. Ciccolilli 94-00582 Name of Respondents Michael McDyer Hibbard Brown & Co., Inc. REPRESENTATION For Claimant: Claimant appeared pro se. For Respondent: Steven B. Caruso, Esq. of Hibbard Brown & Co., Inc. located in New York, New York. CASE INFORMATION Statement of Claim filed: February 15, 1994. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITY DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Patin 94-00581 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Representation For Claimant: Rita Patin was represented by Jeffrey Ackermann, Esq. of Durio, McGoffin & Stagg, located in Lafayette, Louisiana For Respondents: Merrill Lynch Pierce Fenner & Smith, Inc. was represented by Richard F. Zimmerman, Jr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between % Name of Claimant James R. and Sandra L. Pease and 94-00579 Name of Respondent David A. Noyes & Co. John F. Rath REPRESENTATION OF PARTIES James R. and Sandra L. Pease ("Claimants") was represented by Alfred Y. Kirkland, Jr., Esq., Brady, McQueen, Martin, Collins & Jensen, Elgin, Illinois. David A. Noyes & Co. ("Respondent Noyes") an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sharon C. Norton and Dominion Properties, Inc., Claimants vs. Salomon Smith Barney, Inc. and Robert C. Bock, Respondents Case Number: 01-02947 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Sharon C. Norton ("Norton") and Dominion Properties, Inc. ("Dominion"), hereinafter collectively referred to as "Claimants": Andrew O. Whiteman, Esq., Hartzell & Whitem

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Mattec^f the Arbitration Between tjame of Claimant Roger K. O'Reilly, Trustee Roger K. O'Reilly Trust and 94-00574 Name of Respondent Gregory Gurriero REPRESENTATION OF PARTIES Roger K. O'Reilly, Trustee Roger K. O'Reilly Trust ("Claimant") was represented by Roger K. O'Reilly, Esq., O'Reilly, Cunningham, Norton & Mancini, Wheaton, Illinois. Gregory Gurriero ("Respondent") wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Harriet Reeves, Claimant, ^ tl c*)^^ v. NASD No. 94-572 Ernest Haupt, Respondent Representation For Claimants: Richard Sacks of Investors Recovery Services, Novato, California and Irwin Stein, Esq., San Francisco, California For Respondent: H. Ray Peffer of Smith, Merrill and Peffer, San Ramon, California Case Information Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NatnepfCJainiants Gary J. & Christine B. Masonick 94-00571 Name of Respondents Dean Witter Reynolds, Inc. John Ryff John Gardner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16,1994, Claimants Gary and Christine Masonick, who appeared Pro Se, alleged that Respondents Dean Witter Rey

P!' n llC N.A.S.D. AWARD n.-i-iv NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Charles D. Miller 94-00569 Name of Respondents) The Robinson-Humphrey Co. Inc. REPRESENTATION For Claimant Charles D. Miller: Glenn A. Delk, Esq. of the law firm of Lightmas and Delk, Atlanta, GA. For Respondent The Robinson-Humphrey Company, Inc.: Douglas C. Wurth, Esq., in-house counsel at

N.A.S.D. AWARD ASSOCIATION QF SECURITIES QEA1.E.PS , INC. In the matter of the Arbitration Between ^ Cl a imapt ( s ^ George Moran Leanore Carman Moran Christine A. Moran George Moran, Trustee of the George Moran IRA R/O DTD OS/07/87 Leanore Carman Moran, Trustee of the Leanore Carman Moran IRA R/O DTD 05/07/87 NASD Arbitration No. 94-00567 f Resondent fa) Prudential Securities, Inc. For Claimants: Keith J. Hollis, Es