N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimants Aniello and Violet Ruggieri Carrie Ruggieri Case# vs. 94-00267 Name of Respondents Bear Stearns & Company Lew Lieberbaum & Co., Inc. Mark Perosi REPRESENTATION For Claimants, Aniello, Violet and Carrie Ruggieri ("Claimants"), William J. Conley, Jr., Esq., from the law firm of Pass, Caruolo & Conley, located i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milo L. Pike Case# vs. 94-00266 Name of Respondents Dean Witter Reynolds Inc. Elizabeth Bennett Rice REPRESENTATION Claimant, Milo L. Pike ("Claimant"), was represented by Edgar D. McKean, HI, Esq., from the law firm of McKean, Mattson and Latici located in Gilford, New Hampshire. Respondents Dean Witter Reynolds, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS *. In the Matter of the Arbitration Between Name of Claimants Li-Chia and Jiun-Ning Hsu 94-00253 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimants Li-Chia and Jiun-Ning Hsu, who appeared Pro Se, alleged that Respondent Pacific Brokerage Services, Inc. made an un

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glenn and Carmen Guidry Claimants, v. No. 94-00443 Smith Barney Shearson, f/k/a Shearson Lehman Brothers Respondent. REPRESENTATION OF PARTIES Claimants Glenn and Carmen Guidry ("Claimants") were represented by James L. Brazee, Jr., Esq. and Marjorie G. O'Connor, Esq. of Brazee and Associates located in Lafayette, Louisiana. Claimants were p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFRS. INC. In the matter^of the Arbitration Between Name of Claimant Shelley B. Weinstein NASD Arbitration No.94-00442 Name of Respondent Volpe, Welty & Co. REPRESENTATION For Claimant: James A. Carter, Esq., and Brian M. Carter, Esq., Carter & Carter, San Francisco, California For Respondent: Harry Bremond, Esq., and Millicent Meroney, Esq., Wilson, Sonsini, Goodrich & Rosati, Pal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Bernard S. Epps Revocable Trust and Ginko Epps, Trustee of Ginko Shhnazu Epps Revocable Trust v. Name of Respondents Shcarson Lehman Brothers, Jerry Goldberg, and Bruce Hadash For Claimant: For Respondent: REPRESENTATION Kenneth B. Goodfiied, Esq. Rubin &Rahc Beverly Hills, California Harry Walters Shearson Lehman Brothers

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kathy Carver 94-00440 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Howard Conn CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1994, Claimant Kathy Garver, who appeared Pro Se, alleged that Respondent Howard Conn, of the Respondent firm Merrill Lynch,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Perry S. Reich (Claimant) v. Gruntal & Co., L.L.C., The GMS Group, L.L.C., Ryan Beck & Co., L.L.C., and Joseph Burgos (Respondents) Case Number: 01-02937 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Perry S. Reich ("Reich") hereinafter referred to as "Claimant": William S. Shepherd, Esq., S

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Name of Claimant NASD Arbitration Ronald Bunce, No. 94-00437 Executor of Estate of Allan H. Bunce v. Name of Respondents International Business Securities, Inc. Brent Jay James B. Castles REPRESENTATION For Claimant: Valerie F. Horn, Esq., Weissman & Weissman, Encino, California For Respondents: H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Gillet 94-00433 Name of Respondents Smith Barney Shearson, Inc. Lester G. Kaufman REPRESENTATION For Claimant, Harold Gillet ("Gillet"): Arnold Steinberg, Esq. of Boca Raton, Florida. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson") and Lester Kaufman ("Kaufman"): Ellen Slipp, Esq. of Smith Barney, Inc., N