NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between KARIN SMITH, Claimant, vs. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and DANIEL K. MOORE Respondents, Case #87-02574 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr. Andrew E. Baluk Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 11, 1987. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert H. & Frances Salvage, ) Claimant, ) ) Case 187-02565 vs. ) Award Jean Herriot Alexis, ) Respondent. ) Heard before the members of the Arbitration Panel: Howard E. Kurzweil Andrew Bartfay Richard Ragland CASE SUMMARY This claim was filed with the NASD, Inc. on December 11, 1987. The hearing was conducted in Fort Lauderdale, Florida,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) PALACIO S. WEINRAUB, INC., ) Claimant, ) ) Case 187-02550 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH. ) INC., ) Respondent. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Patricia A. Shub Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on December 10, 1987. T

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Jane K. Corradini vs. Claimant(s) AWARD CASE #87-02540 First Affiliated Securities, Inc. Thomas Garrity Respondent(s) SUMMARY OF ISSUES This case was filed on December 9, 1987. Claimant Jane K. Corradini alleges that Respondents First Affiliated Securities, Inc. and Thomas Garrity made unsuitable investments in her account, such as, limited partnerships, speculative securities and opti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the matter of the Arbitration Between of Claimants Richard and Katherine Simon, et al. NASD Arbitration No. 93-01588 Name of Respondents ^Prudential Securities, Inc. Holford Securities (U.S.), Inc. Gerald H. Klein REPRESENTATION For Claimants: Edward Russey, Esq., Greenbaum and Ferentz, Newport Beach, California. For Respondent Prudential Securities, Inc.: William Cass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. NASD Case No. vs. 93-01586 Name of Respondent Mark J. Schroeder REPRESENTATION For Claimant, Prudential Securities Inc. ("Claimant"), David L. Becker, Esq. from the law firm of Kutak Rock located in New York, New York. For Respondent, Mark J. Schroeder ("Respondent"), Andrew Liput, Esq. from

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities Inc. v. Alan R. Evans Case Number: 01-02595 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES First Union Securities Inc., hereinafter referred to as "Claimant," was represented by Tom Voltz, Esq. of Kane & Fischer, Ltd. Located in Chicago, Illinois. Alan Evans hereinafter referred to as "Respondent" of Houston Texas, represented himself.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS JA ' ! l9 ''' ; ;•••.; •;~:r>»J In the Matter of the Arbitration Between Name of Claimant(s) Edwin R. Ruskin 93-01575 Name of Respondents) Prudential Securities Inc Linda Ryan REPRESENTATION For Claimant, Dr. Edwin R. Ruskin ("Ruskin"): Charles D. Franken, Esq. of Charles D. Franken P.A. in Plantation, FL. For Respondent, Prudential-Bache Securities Inc. ("Prud

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Desiderio 93-01568 Name of Respondent Great Western Financial Securities For Claimant Susan Desiderio ("Desiderio"): William R. Amlong, Esq. and Robyn S. Hankins, Esq., of Amlong & Amlong, P.A., Fort Lauderdale, Florida. For Respondent Great Western Financial Securities ("Great Western"): Mark E. Zelek, Esq., of Morgan, L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Anthony and Joann Niekrewicz 93-01560 Name of Respondent(s) Michael P. Ryan Prime Capital Services, Inc. REPRESENTATION For Claimants Anthony and Joann Niekrewicz: David L. Becker, Esq. of the law firm of Kutak Rock, New York, NY. For Respondents Prime Capital Services, Inc. and Michael P. Ryan: Ted Finkelstein, Esq.,