N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cit Seymour Sobel Jay and Barbara Stein Robert Chaut Award No. vs. 93-05302 Name of Respondents Smith Barney Shearson, Inc. For Claimants, Seymour Sobel ("Sobel"), Jay and Barbara Stein ("Steins"), Robert Chaut ("Chaut") (collectively "Claimants"), appeared Robert E. DeRight, Esq. from the law firm of Epstein Becker & Green, P.C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') CuitisW. Caviness 93-05291 Name of Respondent^ Securities Planners, Inc. Vincent Aux CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22, 1993, Claimant Curtis W. Caviness, who appeared, pro se, alleged that Respondent Vincent Aux of the Respondent firm Securities Planners, Inc. misrepres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Israel Salei; Control Electronics, Inc. 93-05285 Name of Respondents Shearson Lehman Brothers, Inc.; Charles Novak REPRESENTATION For Claimant: Israel Salei ("Salei") and Control Electronics, Inc. ("Control") were represented by D. Michael Kratchman, Esq. of Southfield, Michigan. For Respondent: Shearson Lehman Brother

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Hartley 93-05284 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc.; Frederick F. Alvira REPRESENTATION For Claimant: Robert L. Hartley ("Bartley") was represented by J. Kinsley Cotton, Esq. of Drolet, Freeman, Preston, Cotton, Sterling & Nonis, P.C., located in Bloomfield Hills, Michigan. For Resp

N.A.S.D. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Prudential Securities Inc. 93-05280 Name of Respondents Dunhill Equities, Inc. Meridian Associates, Inc. Meridian, Dunhill & Co., Inc. Joseph G. Chiutli REPRESENTATION For Claimant: Eric Reider, Esq., of Robinson Silverman Pearce Aronsohn & Herman, New York, New York. For Respondents: Respondents did not ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C|ajjmant Walter Sundel Case# vs. " 93-05279 Name of Respondents Stuart Coleman & Co., Inc. Stuart Voisin REPRESENTATION For Claimant, Walter Sundel ("Claimant"), Jerome Olitt, Esq., from Arbitration and Mediation Specialists, Inc., located in Stanford, Connecticut. For Respondents, Stuart Coleman & Co., Inc. ("Stuart Coleman")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant Henry C. Liu 93-05277 Name of Respondent ETrade Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 22,1993, Claimant Henry C. Liu, who appeared Pro Se, alleged that Respondent ETrade Securities, Inc. sold and liquidated GM and UAL options without authorization on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Maher (Matt) and Deborah Shammas 93-05373 Name of Respondents Prudential Insurance Co. of America; Michael Emery; Edward Dublis REPRESENTATTQN For Claimants: Maher Shammas ("Shammas") and Deborah Shammas were represented by Mary A. Owens, Esq. of Flickinger & Associates, P.C., located at Grand Rapids, Michigan. For Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold Wiant and Delores Wiant 93-05372 Name of Respondents L.C. Wegard & Co., Inc. Lawrence Weil REPRESENTATION For Claimants Harold and Delores Wiant ("Wiant") appeared Edward Seglias, Esq., of Cohen & Huntington, P.C. located in Philadelphia, Pennsylvania. For Respondents L.C. Wegard & Co., Inc., ("Wegard") and Lawrence

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES nFAI.FRS Kemper Securities, Inc., Claimant, v. No. 93-05362 Steven P. Sacramone, Respondent. REPRESENTATION OF PARTIES Claimant was represented by Michael Kraft, Esq., of Siegan, Barbakoff, Gomberg & Kane, Ltd., Chicago, Illinois. On January 31,1995, Respondent Steven P. Sacramone ("Respondent") appeared prose by speaker phone. On March 2,1^95^ Respondent failed to appear. CASE INFORMATIO