N.A.S J>. AWARD ASSOCIATION OF SEP.! TRTTTpg ny.AT.FRS. TMC. In the matter of the Arbitration Between Mami* Cli Gerald and Annedore Pick NASD Arbitration No. 92-03307 Nunt nl E. F. Hutton, Inc. (Sbeanoa f^hman Brothers, Inc.) For Claimant: John J. Gilligan, Esq. - Gyler Gilligan & Famuiaro • Long Beach, California For Respondent: William A. Hohamer, Esq. • Shearson T/ihman Brothers, Inc. New York, NvwYork CASE TKEORMATTQN Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES pEALERS In the Matter of the Arbitration Between John Leslie Eddy & Carolyn Eddy* Family Trust NASD Arbitration No.92-03306 International Assets Advisory Corp. Al Blakes MEPRESRNTATIQN For Claimant: John Leslie Eddy, Las Vegas, Nevada For Respondent International Assets: Nancy McMurtry, Internationa! Assets Advisory Corp., Winter Park, Florida For Respondent Al Blakes: Al Blakes, Orla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02459 Stefania Stukovsky, claimant vs. Lynn Di Sarro, respondent. ATTORNEYS: Claimant appeared pro se, Wasco, CA. Respondent appeared pro se, Aliso Viejo, CA. DATE FILED: May 10, 2001 CASE SUMMARY: Claimant alleged that respondent traded her account excessively and charged her inappropriately for commissions. Claimant further alleged that respondent engaged in unauthorized trad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred Gee 92-03301 Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimant: Anthony J. Horn, Esq. For Respondent: Rita A. Maimbourg, Esq. of Alter & Hadden. CASE INFORMATION Statement of Claim filed: October 15, 1992. Claimant's Submission Agreement signed on: September 17, 1992. Statement of An

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norma E. Seifried 92-03286 Name of Respondents Prudential Securities, Inc. Robert D. Hedges CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1992, Claimant Norma E. Seifried, who appeared Pro Se, alleged that in 1985 Respondent Robert D. Hedges, a broker wit

N.A.S.D. AWARD v^/ \^/ u NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Name of Claimant Joseph F. Pannell No. 92-03255 Name of Respondents Dean Witter Reynolds. Inc. and Mark Loft iflflPR|ji|S]ENTAHQN OF PARTIES Claimant Joseph F. Pannell was represented by Richard E. Charlton, HI, Esq. of the Winchester Law Firm, Memphis, TN. Respondent, Dean Witter Reynolds, Inc. was represented by Edward M. Kaplan, Esq. of Armstrong, Allen, Pre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECU In the Matter of the Arbitration Between Name of Claimants George O. and Leona M. Holm Najne j)f Respondents Piper, Jaffray & Hopwood. Inc. Piper Capital Management Incorporated Lynn Danz Kaye /9SB 92-03244 For Claimants at the hearing: Peter J. Timmons. Esq., Minneapolis, Minnesota. For Respondents at the hearing: Edward J. Pluimer. Esq. of Dorsey & Whitney, Minneapolis. Minnesota. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. > the matter of the Arbitration Between Name of Claimant Isaac Living Trust, William & Clorinda Isaac, Trustees NASD Arbitration No.92-03241 Name of Respondents Shearson Lehman Brothers, Inc. Gary Fetman REPRESENTATION For Claimant: Randall S. Waier, Esq., Waier & Urtnowski, Newport Beach, California For Respondent Shearson: William A. Hohauser, Esq., Smith Barney, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Chao Hong Fu, Individually and as Attorney-In-Fact for Mei-Huey Fu and Jen-Kou Fu NASD Arbitration No. 92-03235 Name of Respondent(s) Marc Fink REPRESENTATION For Claimants: Raymond Gaitan, Esq., Greenbaum And Ferentz, Newport Beach, California For Respondent: Mark Fink, Securities America, Inc., Bel Air, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanqg of Lolita C. Garcia #9243233 Name of Respondents Dean Witter Reynolds, Inc. Julian H. Gingold For Claimant Lolita C. Garcia ("Claimant"): Vincent L. Briccetti Esq. of Briccetti & Calhoun. For Respondents Dean Witter Reynolds, Inc. ("DWR") and Julian H. Gingold ("Gingold"): George D. Sullivan Esq. of Dean Witter Reynolds Inc. CASE INFO