N.A.S.D. AWARD NATIONAL. ASSOCIATION OF SECTIRTTIFS DEALERS. INC. In the matter of the Arbitration Between of Claimants The Nevenka Tanin Family Trust Nevenka Tanin NASD Arbitration Eleanore Tanin No. 93-03360 Name of Respondents Shearson Lehman Hutton, Inc. Thirfl Party Claimant Smith Barney Shearson, Inc. Third Party Respondent Cyril P. Tanin Representation For Claimants: Robert A. Uhl, Esq. - Aidikoff & Kesluk - Los Angeles, C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alvin L. Lesser 93-03356 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Alvin L. Lesser, who appeared Pro Se, alleged that Respondent PaineWebber, Inc., through its account executive, Jeff Sena, made an unauthorized transf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vita Jaffe Karpinos 93-03353 Name of Respondent Merrill Lynch. Pierce, Fenner & Smith. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Vita Jaffe Karpinos. through his Representative, Steve Goldberg, alleged that Respondent Merrill Lynch. Pierce, Fenner &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Satya N. Gupta and Promila Gupta Satya N. Gupta Custodian for Ashish Gupta 93-03352 Name of Respondent Waterhouse Securities. Inc. REPRESENTATION For Claimants Satya N. Gupta, Promila Gupta, and Satya N. Gupta Custodian for Ashish Gupta ("Claimants"): Ralph A. Gam, Esq. For Respondent Waterhouse Securities, Inc. ("Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Lionel A. Dorsay, Claimant, v. No. 93-03342 William Hecht, Kent Casey, and R.G. Dickenson & Co., n/k/a Dickenson & Co. Respondent REPRESENTATION OF PARTIES L. Eric Dowell, Esq., of Burns, Shields & Partners, P.C., Phoenix, Arizona, represented Lionel A. Dorsay ("Claimant"). Sid Spaeth, Esq, of Faegre & Benson, Minneapolis, Minnesota represented William Hecht, Kent Casey, a

NASD AWARD Claimants Laurette Wood Case Number 93-03339 Respondents Alex Brown & Son, Inc. and Robert David Perrin REFRJESENTATION Claimant, Laurette Wood ("Wood") was represented by Jane Sirak, Esq. of the law office of Jane Sirak, Esq., West Palm Beach, Florida. Respondent, Alex, Brown & Sons, Inc. ("Alex Brown") was represented by Daniel J. Donovan, Esq. of Alex Brown, Baltimore, Maryland. • . i . Respondent, Rober

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Michael LeVine Filet Products, Inc. Filet Menu, Inc. NASD Arbitration No. 93-03328 Name of Respondent(s) Kayne, Anderson & Co., Inc. David DeWind REPRESENTATION For Claimants: Paul M. Krueger, Esq., Barry And Krueger, Beverly Hills, California For Respondents: Stephen Young, Esq. and Jill E. Olofson, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brett A. Singer 93-03324 Name of Respondent Chatfield Dean & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1993, the Claimant Brett A. Singer, who appeared Pro Se, alleged that the Respondent Chatfield Dean & Co., refused to refund money for courses, examination and li

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Micara 93-03320 Name of Respondents Sun/merica Securities, Inc. Gioia del Campo Streetfield Agency, Inc. REPRESENTATION For claimant Frank Micara ("claimant") appeared Richard B. Cohen, Esq. of the law firm Akabas & Cohen, located in New York, New York. For respondent SunAmerica Securities, Inc. ("SunAmerica") app

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Soraya Khamsi and Marcus M. Sharei, Claimants v. Charles Schwab & Co., Inc. Respondents Number- 01-02676 Hearing Site: San Francisco, California RFPRFSFNTATTON OF PARTTFS For Claimant Soraya Khamsi: Soraya Khamsi LiPropria Persona Emeryville, California For Claimant Marcus M. Sharei: Marcus M. Sharei In Propria Persona Emeryville, California For Respondent: Mau