N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nartie of Claimant(s) Johanna Campbell John and Diana Fedak Case No. 92-01611 Case Nor92-01632 Name of Respondent^ Smith Barney Harris Upham & Co., Inc. REPRESENTATION For Claimants, Johanna Campbell ("Campbell") and John and Diana Fedak ("the Fedaks"); Arthur Schwartzstein, Esq. of the Law Offices of Arthur Schwartzstein, Esq. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter or the Arbitration Between Name of Claimants John Olenick Richard D. Nikoiaev 92-01618 Name of Respondents Dean Witter Reynolds, Inc. .Andrew J. Johnson REPRESENTATION For Claimants at the hearing: Mark Maddox, Esq. of Coons & Saint. Indianapolis, Indiana. For Respondent Dean Witter Reynolds, Inc. at the hearing: Jay M. Cutler. Esq. of Dean Witter Reynolds, Inc.,

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John D. Mullen Claimant CASE #92-01617 AWARD vs. J.W. Gant & Associates, Inc. Robyn Lynn Reagan Kelly Button Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1992, Claimant John D. Mullen who appeared pro Se, alleged that in 1991 he opened an account with Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G. Roben Abrams Michael A. Ruderman Name of Respondent(s) Schonfeid Securities Inc. Ronald K. Harrison Kathryn A. Licursi Stephen B. Schonfeid 92-01613 REPRESENTATION For Claimants G. Robert Abrams & Michael A. Ruderman: David Robbins, Esq. of Kaufman, Gildin & Carlin. For Respondents Schonfeid Securities Inc., Ronald Harrison, Kath

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. in the Maner of the Arbitration Between Name of Claimant Anne Arnold and ^~ Name of Respondents Oppenheimer & Co., Inc. Van Kampen Merritt, Inc. and Bruce McGaugh 92-01612 REPRESENTATION OF PARTIES Claimant appeared pro se. Respondent Oppenheimer & Co., inc. was represented by John T. McGuire, Esq. of Oppenheimer & Co., Inc., New York, New York. Respondent Va

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon S. Trenholm Case # vs. 92-01611 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, Leon S. Trenholm ("Claimant"), Ralph A. Dyer, Esq. For Respondent, Shearson Lehman Brothers, Inc. ("Respondent"), Richeile Kennedy, Esq. from the law of firm Bingham, Dana & Gould. CASE INFORMATION Sta

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Hayner vs. 92-01607 Name of Respondent A.G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1992, Claimant Robert Hayner, who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. miscalculated his sale of 12,000 shares of Tos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 1-n the Matter of the Arbitration Between Name of Claimant Wheat, First Securities, Inc. 92-01605 Name of Respondent Kin W. Chens For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION John Ivan, Esq. in house attorney at Wheat First Securities. Randy M. Kornfeid, Esq. of Randy M. Kornfeld, P.C. CASE INFORMATION May M. 1992. Claimant's Submissio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alston Roberts and Niroopa Roberts, (Claimants) vs. Morgan Stanley Dean Witter and Michael DeRosa, (Respondents) Case Number: 01-01882 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Alston Roberts ("A. Roberts") and Niroopa Roberts ("N. Roberts"), hereinafter collectively referred to as "Claimants": Adolph D. Seltzer, Esq., a sole practitioner, New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant John D. Dowdall 3S ,0 and 92-01011 Name of Respondents Shearson Lehman Brothers, Inc., Mark J. Stephenson and Lawrence Roberts REPRESENTATION OF PARTIES John D. Dowdali ("Claimant") was represented by Fred T. Bennett, Esq. of Stillman & Bennett. P.C., Dallas. Texas. Shearson Lehman Brothers, Inc., Mark J. Step