PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03005 AWARD In the Matter of the Arbitration Between Dave M. & Michelle R. Enriquez, JTWROS Claimants vs. Prudential Securities, Inc. •r Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 26, 1991, Claimants, Dave M. & Michelle R. Enriquez, who appeared Pro Se, alleged that Respondent, Prudential Bache

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald & Jeanette Dale vs. 91-03002 Name of Respondents , H.K. Freeland & Co.. Inc. Keith R. Lipscomb CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 26. 1991, Claimants Donald and Jeanette Dale, who appeared Pro Se. alleged that Respondent H.K. Freeland & Co.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Deanna Wallach 91-02998 Name of Respondent s) Prudential Securities, Inc. Margaret Spanjick REPRESENTATION For Claimant Deanna Wallach: Robert W. Dodds, C.P.A. For Respondent Pnidential Securities, Inc.: Laura Brevetti, Esq. of the law firm of Morrison Cohen Singer and Weinstein. For Respondent Margaret Spanjick: Fre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimanUs) Ida. Catherine and Elena Siciliano 91-02997 Name of Respondents) Wise Planning Corporation Walter Norton REPRESENTATION For Claimant Ida Siciliano: Stanley Yaker, Esq. For Claimants Catherine and Elena Siciliano: Walter D'Ull, Esq. For Respondent Wise Planning Corporation: Harold I.Geringer, Esq. of the law firm of Ge

t . PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01646 AWARD In the Matter of the Arbitration Between Carl Bakal Claimant vs* Elliot Nadel Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1991, Claimant Carl Bakal, who appeared Pro Se, alleged that Respondent, Elliot Nadel, while employed by Moore & Schley, misled him into purchasing Class A Warr

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Nina L. Barwick Name of Bcnnie Albert Bruce M. Alster Arbitration National Association of Securities DMtorv, Inc. One East Sroward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (306) 522-7391 Case No. 91-01643 For Claimant, Nina L. Harwich ("Harwich"): Michael R. Casey, Esq. of Casey and Mslchan

N.A.S.D. AWARD ASSOCIATION OF SKUUkiTlfcB DEALERS In the Matter of the Arbitration Between j~~ Name of Claimant- fgl ) Mary A. Noble ) ) Case Ho. 91-01628 Name of Respondent(s) ) A.G. E&ards & Sons, Inc. ) Max L. Crawford ) Claimant, Mary Noble ("Noble 11 ) was Initially represented by Vincent A. Leto, Esq., of LaBarbera & Canpbell and subsequently by Jess Conn, For Respondents, A.G. Edwards & Sons, Inc. ("A.G. E&ards 11 ) an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Roland and Dorothy Shimel 91-01625 Name of Respondents Wakefield Financial Corp. O.K. Scott & Co., Inc. REPRESENTATION For Claimants: The Claimants appeared pro se. For Respondent G.K. Scott & Co., Inc.: George Kevorkian of O.K. Scott & Co., Inc. The Respondent Wakefield Financial Corp. did not attend the hearing. CASE INFORMATI

Arbitration N.A.S.D. AWARD National Association of Securities Dealers* Inc. NKnOBL ftSSOCTATICN OP SBOJRTnES DEMURS 33 W° teh^le^"^ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name Of na-imani- Malcolm E. Thompson 91-01624 Name of Respondents Shearson t^hma-p Brothers, Inc. David C. Donaldson, Jr. For Claimant Malcolm. E. Thompson ("Claimant") : Susan N. Perkins, a sole practitioner. For Respon

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tuyetle Crouch, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 01-01864 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Law Offices of Dennis R. Villavicencio Carlsbad, California For Respondent: John L. Erikson, Jr., Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, L.L.P.