N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Joy R. Schott-Kron and 92-03111 Name of Respondents Dean Witter Reynolds, Inc. Alice Fisher REPRESENTATION OF PARTIES Joy R. Schott-Kron ("Claimant") was represented by JoAnn Weinstein, Esq. of Davis, Lerman & Weinstein, Denver, CO. Dean Witter Reynolds, Inc. and Alice Fisher ("Respondents") were represented by David

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NanieofCJaiinants Janet K. and Mark O. Conyers 92-03108 Name of Rejpcfldents William H. Seals H.K. Freeland & Company, Inc. Reynolds Kendrick Strattpa. ...._ •..;,,., CASE SUMMARY In a claim filed wffli the National Association of Securities Dea 1992, Claimants Janet K. and Mark 0. Conyers, who appeared Pro Se, alleged that Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter of the Arbitration Between Name of Claimant Nolan A. Bowen 92-03103 Name of Respondents F.N. Wolf & Co., Inc. Bryan Gibson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15. 1992. Claimant Nolan A. Bowen, who appeared Pro Se, alleged that on April 20, 1992 in a telephone conversation with Respondent Bry

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTMTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Victor Brown Case No. 92-03102 Name of Respondents GKN Securities Corp.; Bear, Stearns & Co., Inc. For Claimant, Victor Brown ("Brown"): was represented by Andrew Mosberg, CPA, of Aventura, Florida. For Respondent, GKN Securities Corp. ("GKN"): was represented by Andrea Goldman, Esq. of GKN Securities Corp., New York, New Yo

NASD Arbitration No. 92-03100 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Phrydon E. Badal Name of Respondents) Roger F. Vierra REPRESENTATION For Claimant: Phrydon E. Badal, San Mateo, California For Respondent: Eric Swett, Esq., Keesal, Young & Logan, San Francisco, California ~" CASE INFORMATION Statement of Claim filed: September 14, 1992 Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeanette Williams 92-03095 Name of Respondents Prudential Securities Inc Gene Boyle, in REPRKSlgNTATION For Claimant Jeanette Williams appeared Robert S. Moraff, Esq. of the law firm of Schwartz, Tobia & Stanziale. For Respondent Prudential Securities, Inc. appeared Beth Kaufman, Esq. of the law firm of Shoeman, Marsh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Banschback, (Claimant) vs. Joseph Gunnar & Co., LLC, James Crew, and Jonathan Hurd, (Respondents) > Case Number: 01-02454 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Banschback, hereinafter referred to as "Claimant": Robert M. Vella, Jr., Esq., Pillari & Vella, Mineola, NY. Respondents, Joseph Gunnar & Co., LLC ("Gunnar") and James Crew (

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f .Claimants Abram Speiser Trust Bemice Speiser Co-Trustee 92-03094 Name of Respondent^ Addison Financial Services Inc. First Montauk Securities Corporation Eric Finkel Robert Baran CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15. 1992, Claimant Abram Speiser, Trust,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Angeiine Hines 92-03093 Name of Respondent s> MCW, Inc., f/k/a B.C. Christopher Securities Company David Sederholm For Claimant: Mark D; Wasserstrom Esq., of Kansas fcity, Missouri. For Respondents: Michael Vaughan, Esq. of Calkins, Weisenfels & Vaughan, Kansas City, Missouri. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clarence and Harriet Salzberg vs. 92-03091 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Sidney Kogan REPRESENTATION For Claimants, Clarence and Harriet Salzberg; Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sidney Kogan; Thomas R.