N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. vs. 93-03288 Name of Respondent James P. Maloney WHEREAS, Claimant PaineWebber Incorporated ("PaineWebber") and Respondent James P. Maloney ("Maloney") entered into a promissory note (No. 2645 dated April 16, 1990 (the "Note"), whereby Maloney promised to pay certain sums of money to PaineWebber if

A „ ORIGINAL Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Western Advisors, Claimant v. Steven A. Reber, Respondent Steven A. Reber, Coimterclaimant v. First Western Advisors, Counter Respondent Steven A. Reber, Third-party Claimant v. Donaldson, Lufkin & Jenrette Securities Corp. and Brian Kasteler, Third-party Respondents Case Number: 01-02668 Hearing Site: Salt Lake City, Utah For Claimant/Counter Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber Incorporated 93-03280 Name of Respondent Lambert Peterson CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant PaineWebber, Inc., through its in-house counsel, Garry J. Stegeland, Esq. alleged that Respondent Lambert Peterson had a margin account with a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman^ PaineWebber, Inc. 93-03278 Name of Respondent Richard S. Gobroski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20,1993, Claimant PaineWebber, Inc. through its in-house counsel Garry J. Stegeland, alleged that Respondent Richard S. Gobroski failed to pay a debit balance create

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group. Inc. 93-03269 Name of Respondent Thomas Campo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant Corporate Securities Group, Inc., through their in-house counsel, Gregory Tendrich, Esq., alleged that Respondent Thomas Campo, as the Lic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl J. McCurdy 93-03266 Name of Respondent Smith Barney Harris Upham & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant Cart J. McCurdy, who appeared Pro Se, alleged that he placed an open order, good till cancelled, with Respondent Smith, Barney, Ha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ma^er of the Arbitration Between Name of Claimant PaineWebber, Incorporated 93-03261 Name of Respondent Daniel P. Chrzanowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1993, Claimant PaineWebber, Incorporated, by and through their in-house counsel Garry J. Stegeland, alleged that on or about March 13, 1990 Claimant hir

N.A.S.D. AWARD 4 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Musheno and Musheno Auto Sales, Inc 93-03252 of Respondents Advest, Inc. William J. Hissner REPRESENTATION For Claimants John Musheno and Musheno Auto Sales, Inc. ("Claimants"): Shawn A. Bozarth, Attorney at Law, Harrisburg, PA and Thomas K. Wynne, Attorney at Law, Lebanon, PA For Respondents Advest, Inc. ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of....Claimant David M. Guskin 93-03250 Name of Respondents Aaron Fischman Jonah Rosenblatt Benjamin Herskovich REPRESENTATION For Claimant David M. Guskin ("Claimant"): appeared pro se For Respondent Aaron Fischman ("Fischman 11 ): Fischman did not appear For Respondent Jonah Rosenblatt ("Rosenblatt"): Rosenblatt did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ANNE M. GARCIA Claimants v. NASD No. 93-3240 JEFFREY DAFT, SHEARSOTI LEHMAN BROTHERS, and SUTRO & CO., INC. Respondents Representation For Claimant: Daniel Garcia, Esq., Sacramento, CA For Respondent Shearson Lehman Brothers (Shearson): Ellen Slipp, Esq. of Shearson New York, N.Y. For Respondents Sutro & Co. and Jeffrey Daft: Brian Zagon, Esq. a