N.A.S.D. AWARD NXETCNAL ASSOCIATION OF SHLURITIBS DEALERS in the Matter of the Arbitration Between ) ) name of n Jean D. Ketcham ) ) Case No. 91-01578 ) Name of pM r~** ij 3Pt (e) ) ) A.G. B&ards & Sees, Inc. ) D. Eugene Harris ) For Claimant, Jean D. Ketcham ("Ketcham"): Lynn Graybill. For Respondents, A.G. S&ards & Sons, Inc. ("Bdtoards") and D. Eugene Harris ("Harris"): day Orumke, Esq. of A.G. B&mrds. Stat

PUBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01575 AWARD In the Matter of the Arbitration Between David E. Stzold, Executor Claimant vs. Eppler, Guerin & Turner, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1991, Claimant David E. Etzold, Executor, who appeared Pro Se, alleged that on March 15, 1990 he submitted explicit written transfer inst

3.A.S.D. AWARD NKTICNMi ASSOCIAIXCN OF SECURITIES DEMERS , ; , ;„.- _ lijjr • ..... "" In the Matter of the Arbitration Between -?( n .-p > ,*~. ^-j > - •• \ > Evelyn Jackson j A ; Claimant • ^".'.1"^"- and , __ — ---- $1=01571 Dean Witter Reynolds, Inc. & Lee Felicetta Respondents OF Claimant Evelyn Jackson appeared and was represented by Mark 0' Boyle , Esq. of Zelle & Larson r Minneapolis, Minnesota.

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. CASE #91-01570 AWARD In the Matter of the Arbitration Between Lawrence H. Title Claimant vs. Pacific Brokerage Services, Inc. Respondent. CASE SUMMARY Lawrence H. Title, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1991, alleged that Respondent failed to execute a day order sell for ten Allied- Signal March 30 calls at $.75. Cla

N.A.S.D. AWARD NKEKMRL ASSOdATICN OF SMOJkmia DEMOS, IMC* In the Matter of the Arbitration Between Hams of Stephanie D. Kohan 91-01567 Mama of Resncnrtenta Wellington Financial Group, Inc. Meridian Associates, Inc. For Claimants; Clarence R. Saccardi, Esq. For Respondents: Jaznes B - Rosen thai, Esq. of the law firm of Arent, Fox, Kinter, Plotkin & Kahn. IMPCBMftTICIT Statement of Claim filed on: May 20, 1991. Claimants

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Rabasca Trust (Claimant) v. Larry C. Wolfe, The GMS Group, LLC, and Gruntal & Co. (Respondents) Case Number: 01-01860 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Fred Rabasca Trust ("Rabasca") hereinafter referred to as "Claimant": Stephen H. Weiner, Esq., Law Office of Stephen H. Weine

N.A.S.D. AWARD NATIONAL ASSOdAXICN OF SBCORTTIES DEALERS In the letter of the Arbitration Between Q£ TTur-man 91-01566 of Sbearson r^»nam Hutton, IDC. Richard Xadry For Claimant: James Bruce Pearson of Fargo, North Dakota. For Respondentsi Harry Walters, Esq. and Christine Ecacey, Esq. of Sbearson Lehman Brothers, inc.. New York, New York- Statement of Halm filed: May 16, 1391. daiinant's Subndssico. Agreement signed on: May 9 f

N.A.S.D. AWARD NAIICNAL ASSCCIATXCN OF SECURITIES DEALERS, INC, In the Hatter of the Arbitration Between Name of Claimant < s) Dean Witter Reynolds, Inc. 91-01564 Garland, Pools Inc. CASE SOMtfOf In a i^jrHn filed with the National Association of Securities Dealers, Inc. on May 21, 1991, Claimant Dean Witter Reynolds, lac. by and through its outside counsel, Dominic* J. Dorata, Esq., Sole Practitioner, New York, Haw York, alleged that Respond

National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Wall Street Clearing Co. Claimant vs. #91-01562 Paul Harary and Hillary Kushman Rescondents Resoresentation For Claimant: David A. Goldman, Esq. of Wexler & Burkhart in Garden City, New York. For Respondents: Simon s. Kogan, Esq. of New York City. Case Information Statement of Claim filed: May 16, 1991 Submission Agreement of Claimant signed on

mjm^mmm NASiJ H.A.S.D. NATICNRL ASSOCIATICK OF SECDRITIES DEALERS _____ In the Matter of the Arbitration Between Of Herbert Rechter Name of 91-01557 Cppesoheimer & Co., Inc. Warren K. Hayes For Respondent Cppenheimer & Go., Inc. ("CEpenheimer 11 ) ("Hayes") : Joseph C. PiOcard of Cppenhel (ass Arbitration _ Nation.! A«od. t ,on of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Stre