NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert W. and Marilyn J. Johnson and 93-03961 Name of Respondent Curtis R. LeValley Geneva Securities, Inc. Howe Barnes Investments, Inc. REPRESENTATION OF PARTIES Robert W. and Marilyn J. Johnson ("Claimants") were represented by Dennis Waldon, Esq., Lavin & Waldon, Chicago, Illinois. Curtis R. LeValley ("Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Eugene Francis Kallman 93-03941 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers Regulation, Inc. on September 29,1993, Claimant Eugene Francis Kallman ("Claimant"), through his representative, Adam M. Cohen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tajiddin Shaheed, Claimant, v. No. 93-03917 Investors Diversified, Inc. d/b/a/ CC&Q, Respondent. REPRESENTATION OF PARTIES Claimant Tajiddin Shaheed ("Claimant") was represented by William G. Schwail, Esq., Chattanooga, Tennessee. Respondent Investors Diversified, Inc. d/b/a CC&Q ("Respondent") failed to appear at the hearing. CASE INFORMATION Claimant's Statement of Claim was fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .Claimant(s) Pete Pappas 93-03931 Name of Respondent s) Prudential Securities Inc Robert Rankin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimant Pete Pappas, through his representative, Steven G. Grossman, Esq. of Investors Arbitration Services, Inc., alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ny»a of Claimants Gordon F. Hildebrand and Marie B. Hildebrand 93-03924 A.G. Edwards & Sons, Inc. and Craig S. Morgan REPRESENTATION OP PARTIES Claimants Gordon F. Hildebrand and Marie B. Hildebrand ("Claimants") were represented at the hearing Pro Sg. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Craig S. Morgan ("Morgan"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dorothy W. Bayley Revocable Trust and 01-02780 Phoenix, Arizona Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc. REPRESENTATION OF PARTIES Dorothy W. Bayley Revocable Trust ("Claimant") was represented by Robert D. Mitchell, Esq., Mitchell Law Offices, P.C., Phoenix, Arizona. Merrill Lynch Pierce Fenner & Smith Inc. ("Respondent") was repre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s') Janet J. Phillips 93-03923 Name of Respondentf s) Dean Witter Reynolds Inc. Wayne Maddux, Jr. REPRESENTATION For Claimant Janet J. Phillips: Mark F. Huard, Esq. of the law firm of Sadler and Associates, Inc., Atlanta, GA. For Respondents Dean Witter Reynolds, Inc. and Wayne Maddux, Jr.: George D. Sullivan, Esq. in-h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Gedaliah Zlatowitz 93-03919 Name of Respondent (s) PaineWebber, Inc. David Steadly REPRESENTATION For Claimant Rabbi Gedaliali ZIotowitz ('claimant") appeared Anthony 3. Horn, Esq., Philadelphia, PA. For Respondent PaineWebber, Inc. ("PaineWebber") and David Steadly ("Steadly") appeared Joseph Generelli, Esq. of Paine

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley E. Vernovage 93-03914 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28,1993, Claimant Stanley E. Vemovage, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. sold the Claimant 16 units of Prudentia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lillian Schneider 93-03907 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1993, Claimant Lillian Schneider ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, locat