N.A.S.D. AWARD NATIONAL. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Marguerite L. Hartley NASD Arbitration Joan V. Mclntyre No. 93-02322 Naiqe of Respondents Scares Financial Group, Inc. DeWayne C. Soares Mark E>. Booth REPRESENTATION For Claimant: Nancy B. Miller, Esq. - Capitola. California For Respondents: Walter L. Baumgardner. Esq. - Musilli. Baumgardner. Wagner & PamelL, P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Dussich 93-02301 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Daniel T. O'Connell REPRESENTATION For Claimant Joseph Dussich ("Claimant"): Joseph F. Keenan, Esq. of the law firm of Bochat & Keenan, P.C., Garden City, New York. For Respondents Merrill Lynch Pierce Fenner & Smith Inc. ("MLPFS") and D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard J. Pantel 93-02284 Name of Respondents Reich & Co., Inc. David H. Engel REPRESENTATION For Claimant Richard J. Pantel ("Pantel") appeared Mary Ann Stokes, Esq. of the law firm of Cohn Lifland Pearlman Herrmann & Knopf, Saddle Brook, NJ. For Respondent Reich & Co., Inc. ^"Reich & Co") appeared Charles Padgett, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary B. White / Case No.93-02278 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc William Wood Haynes RCTRESENTATION For Claimant, Mary B. White, ("White"): William PonsoMt, Esq. of Kohl, Metzger, Spotts, P. A., Stuart, Florida. For Respondents, Merrill Lynch ("MLPFS") and William Wood Haynes ("Haynes"): Glen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Richard Stone 93-02255 Name of Respondents Gruntal & Co., Inc. Jeff States Barry C. Baum REPRESENTATION For claimant Richard Stone ("claimant") appeared his representative Eugene Feit of the law firm of Herzfeld & Rubin, P.C. located in New York, New York. For respondents Gruntal & Co., Inc.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John G. Salmon John Salmon P.C. Employee Profit Sharing Plan and 93-02224 Name of Respondents Dean Witter Reynolds, Inc. Todd Henderson REPRESENTATION OF PARTIES John G. Salmon and John Salmon P.C. Employee Profit Sharing Plan ("Claimants") were represented by John G. Salmon, Esq., Salmon, Godson & Nicholson, Englewood,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eleanor Marcus-Krasner, Claimants Stanley Krasner, Ray Krasner and Catherine Marcus vs. Orexel Burnham Lambert, Inc., Bear Stearns & Co., Inc. and Norman A. Levine ) ) AWARD ) Respondents ) CASE NO. 87-01506 SUWARY OF ISSUES This case was filed on August 6, 1987. Claimants alleged churning, unsuitability, unauthorized trading, and lack o

0 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sherman and Marjorie Herrington Claimants vs. AWARD #87-01460 Merrill Lynch, Pierce, Fenner & Smith, Inc. William J. Grace, Jr. Respondents Case Summary Claimants Sherman and Marjorie Herrington alleged that Respondents excessively traded violative and speculative securities in their account, recommended and placed Claimants in a limited partner

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Patrick Waters Claimant(B) vs. 87-01443 First Affiliated Securities, inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claim for return of invested funds. Respondent defends on the basis that funds were returned when stock sold (stock changed names prior to sale ) . RELIEF REQUESTED Claimant (s) Michael Patrick Waters req

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Carico, Claimant Vs. Case Number: 01-02611 Stifel, Nicolaus & Co., Inc., and William G. Nelson, Respondents. Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant Steven Carico ("Claimant") was represented by Andrew Stoltmann, Esquire, of Maddox, Koeller, Hargett & Caruso, Chicago, Illinois. Respondents Stifel, Nicolaus & Co., Inc. ("Resp