PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Aaron and Sophie B. Blecker 92-04317 Name of Respondents Mutual Services. Inc.. Division of Cowles. Sabol & Company, Inc. Gregory E. Ricca CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1992. Claimants Aaron & Sophie B. Blecker, who appeared Pro Se, allege

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02553 Charles Schwab & Co., Inc., claimant vs. Jay L. Gabbert and Kelly B. Gabbert, respondents. ATTORNEYS: For Claimant appeared Edmund V. Saucedo, Esq., in-house counsel, San Francisco, CA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 15, 2001 CASE SUMMARY: Claimant alleged that respondents failed to repay the debit balance on their margin accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William F. Addington 92-04316 Name of Respondent Marcos Figueirado For Claimant: William F. Addington appeared pro se. For Respondent: Marcos Figueirado was not represented by counsel and did not appear at the hearing. CASE INFORMATION Statement of Claim filed: December 23, 1992. Claimant's Submission Agreement signed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michel H. Yuspeh Award vs. #92-04313 Name of Respondents Bear Steams & Company Stratton Oakmont, Inc. Paul J. Greco REPRESENTATION For Claimant, Michael Yuspeh ("Claimant"), Ralph A. Gant Esq., located in New York, New York. For Respondent, Bear Steams & Company ("Bear Stearns"), Franklin D. Ormsten, Esq. from t

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between ROBERT M. K. FLECK and JANE ALLISON FLECK, Claimants, v. NASD No. 92-4312 SHEARSON LEHMAN BROTHERS and DAN MELLIS, Respondents. Representation For Claimant: Bruce Safran, Esq., Sherman Oaks, CA For Respondent Shearson Lehman Brothers: Timothy Will, Esq., of Keesal, Young & Logan, Long Beach, CA For Respondent Dan Mellis: Dan Mellis Case

DEC-22-1993 15:00 FROM ^WSD-rtRBITRPTION-CNICflGO TO 12126584141 P.02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milan C. Chamberlain 92-04311 Name of Respondents Shearson Lehman Button, Inc. Andrew Hill For Claimant, Milan Chamberlain, at toe hearing: Tracy R. Efchbora-Hicks, Esq., Minneapolis, Minnesota. . For Respondents* Sbearson tennian Button, Inc. and Andrew Hill, at the hearing

12-21-1994 04:11PM FROM NASD flrbitration/Chicago TO 12128583974 P.0? N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robeit L. Moore and Deanna Moore 92-04308 Randy K, Pittman Park Avenue Securities, Inc. 'ATION For Claimants at the hearing: Stevtn A. Heath, Biq. of MyaockA Cbevaillicr, Tttlsa, OkUhoma. For Respondent Park Avenue Secnrities, Inc. at tneheanng; Matt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Chelsea Street Securities. Inc. and 92-04304 Name of Respondents Lew U'eberbaum & Co., Inc., Mark Lew, David R. Clifton, David T. Cawthon, Daniel J. Oreskovich and Paul Byatt REPRESENTATION OF PARTIES Chelsea Street Securities, Inc. ("Claimant") was represented by Joe B. Abbey, Esq., Dallas, Texas. Lew LJeberbaum

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimant Vinh Cum 92-04302 Name of Respondents BUtmore Securities. Inc. Scott A. Miller REPRESENTATION Claimants appeared pro se. For Respondents. Biltmore Securities. Inc. ("Biltmore") and Scon Miller ("Miller"), Katherine Nathan. Esq. from the law firm of Brandeis. Bernstein and Waserman. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arnold Davidson, Arnold Davidson IRA, Arnold Davidson IRT, Jean Davidson. Jean Davidson IRT. Waltham Pharmacy, Inc. and Waltham Pharmacy, Inc. Profit Sharing Trust 92-04300 Name of Respondents Roney & Co. Marc S. Adels For Claimants: Joseph Spiegel, Esq., a sole practitioner. For Respondents Roney & Co. ("Roney") and Marc