N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 93-03594 Name of Respondent Laurence Rubin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 14,1993, Claimant Corporate Securities Group, Inc., through its in-house counsel Charles E. Scarlett, Esq., alleged that Respondent Laurence Rubin is in

N.A.S.D- AWXRD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(a) Michael and Donna Hornbuckle The Hornbuckle Family Trust of April 15, 1991 NASD Arbitration No. 93-03592 Name of Respondent: (s) Wertheim Schroder & Co., Inc. Stanley Cameron REPRESENTATION For Claimants: David R. Merrihugh, Esq., Agoura Hills, California For Respondent Wertheim Schroder & Co., Inc.: Timothy N.

N.A.S.D. AWARD Dean Britting, Claimant, v. No. 93-03586 Richard Gross, Aaron Fishman, and Michael Woloshin Respondents REPRESENTATION OF PARTIES Dean Britting ("Claimant") appeared pro se. Aaron Fishman and Michael Woloshin failed to appear at the hearing. Richard Gross was dismissed prior to the hearing in this matter. CASE INFORMATION Claimant filed his Statement of Claim on or about September 13,1993. Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Lawrence E. Fuller & Jean E. Fuller 93-03584 Name of Respondent Gerald W. Clevenger REPRESENTATION For Claimants, Lawrence Fuller and Jean E. Fuller: Michael W. Pursley, Arbitration Research Consultants, Safety Harbor, Florida. For Respondent, Gerald W. Clevenger ("Clevenger"): pro se. CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joan Lee Flowers and Wade G. Flowers 93-03574 Name of Respondent(s) Shearson Lehman Brothers, Inc. Fred Ronald Brown Matthew Harrison Merritt, Sr. Bruce Harrington Cox Josephine R. Esquivel REPRESENTATION For Claimants Joan Lee Flowers and Wade G. Flowers: James Stuart Youngblood, Esq., Atlanta, GA. For Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between CHARLES A. DEYLE, NASD Arbitration No. 93-03573 Claimant, v. J.W. GANT AND ASSOCIATES, INC., WILLIAM ERASER and DONALD B. GASGARTH, Respondents. Representation For Claimant: Charles Deyle, pro se, San Diego, California For Respondent William Eraser: David Zisser, Esq. of Berliner, Kaplan, Zisser & Walter, Denver, Colorado For Respondent J. W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John P. Milcetich 93-03568 Name of Respondents Hibbard Brown & Co. Gary G. Peirce CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant John P. Milcetich, who appeared Pro Se, alleged that Respondent Gary G. Peirce, as an employee of Respondent Hibbard Brown

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ivor Katz and Myron Katz, JTWROS, Claimants v. Adolph Komorsky Investments, Peter W. Adolph, and Mark E. Komorsky, Respondents Case Number: 01-02732 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ivor Katz ("I. Katz") and Myron Katz ("M. Katz"), JTWROS, hereinafter referred to as "Claimants": Sydney E. Hurwitz, B.A., LLB.B., Melamed & Hurwitz Inc., Johannesburg, Sou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-03566 Name of Respondent Walter R. Carey REPRESENTATION For Claimant Prudential Securities, Inc. ("Claimant") appeared Christopher Freeze, Esq. of Prudential Securities, Inc. located in New York, New York. Respondent Walter R. Carey ("Respondent") appeared Pro Se. CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip N. & Ruth Stamas Case vs. #93-03564 Name of Respondents Gruntal & Co., Inc. Patrick L.F. Maloney REPRESENTATION For Claimants, Phillips and Ruth Stamas ("Claimants"), Luke Stanton, Esq., from the law firm of Scimone Stanton & Connell. For Respondents, Gruntal & Co., Inc. ("GruntaTX Emilia M. DeMeo, Esq., in-hou