PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant . • Gregory R. Gibson. Custodian tor Eric P." Gibson U/MAS/GTM 92-03146 Name of Respondent Josephthal Lyon & Ross. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 18. 1992. Claimant Gregory R. Gibson. Custodian for Eric P. Gibson, who appeared Pro Se, alle

N.A.S.D. AWARD j p NATIONAL ASSOCIATION OF SECLTUTTES DEALERS In the Matter of the Arbitration Between Mame of Claimant Memll Lynch. Pierce. Fenner & Smith, Inc. 92-03143 Name of Respondent MSD International, Inc. For Claimant: Merrill Lynch. Pierce, Fenner & Smith, Inc. was represented by Grant J. Harvey, Esq. of Gibbs & Ratiiff, L.L.P. For Respondent: MSD International, Inc. did not appear. CASE INFORMATION Statement of Claim filed: Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Trujillo-O'Kieffe M.D. P.C. Trust Employee Benefit Trust Margaret Elizabeth Woods and Dr. Nelson P. Trujillo 92-03142 Smith Barney Harris Upham & Co., Inc. J. Frank Joyce, III REPRESENTATION Claimants Trujillo-O'Kieffe M.D. P.C. Employee Benefit Trust ("Trust") and Margaret Elizabeth Woods ("Woods") and Dr. Nelson P. Trujillo

N . A . S . D . AWARD NATIQffAL ASSOCIATION OF SECURITIES DEALERS, T NC. In Che matter of the Arbitration Between Name of Claimant (s) George A. Johnston Madelin L. Johnston CONSOLIDATED CASES .93^033^, and 92-03393 Name of Respondent ( Kendall W. Cameron For Claimants: Steven C. Frol, Esq., Metz, Frol & Jorgensen, P.S., Seattle, Washington For Respondent: No appearance by Kendall W. Cameron CASE TMPOBMVTTQM 92-03389 Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION. OF SECURITIES DEALERS, T ?JC. In che matter of the Arbitration. Between Name of Claimant (s) George A. Johnston Made 1 in L. Johnston CONSOLIDATED CASES 92^033^£.and 92-03393 Name of Respondent (s) Kendall W. Cameron For Claimants: Steven C. Frol, Esq., Metz, Frol & Jorgensen, P.S., Seattle, Washington For Respondent: No appearance by Kendall W. Cameron CASE TMTORMATION 92-03389 Statem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: P nf thp riaimantg Pagp ]>JijnibfT 01-02455 Estate of Benjamin Wood Mona Wood Wood Development Company 1 nf the f?pqpnriHpnt< ; rfft?TJng Sifft' Baltimore, MD Eileen Wasserman Gruntal & Co., LLC a/k/a Gruntal & Co., Inc. Rir.sF.MT A Tni O Claimants, Estate of Benjamin Wood ("Estate"), Mona Wood and Wood Development Company ("Wood Development"), hereinafter collect

PUBLIC ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel Pollock 92-03141 Name of Respondent Sheanon Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17,1992, Claimant Daniel Pollock, by and through his counsel Rebecca A. Novak, Esq. of Novak & Juhase, New York, NY, alleged that on and befor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS . In the Matter of the Arbitration Between NaineofLClairnant Mary Anne Bromelmeier 92-03121 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc TedGoble REPRESENTATION For Claimant Mary Anne Bromelmeier ("Claimant"): James P. Cullen, Esq. of Rego, Cullen & Hagan Co., L.P.A. For Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill") and Ted Gobte ("Goble")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bishop Rosen & Co.. Inc. Case # vs. 92-03120 Name of Respondents Andrew Racz Warren Weiss Robert Rosen REPRESENTATION For Claimant: Michael Einbinder. Esq., of Rosen Einbinder & Dunn. P.C.. located in New York. For Respondent: Maya Likar. Esq.. located in New York. For Counter Respondent's: Michael Einbinder. Es

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George R. Mahr and Clara A. Mahr 92-03114 Name of Respondents Prudential Securities, Inc. John Ingrisani CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September IS, 1992, Claimants George R. and Clara A. Mahr, who appeared Pro Se, alleged that on July 18, 1992 they purchased a $10,000.00 T