NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; Raymond E. Simpson ? Raymond Simpson C/F 2achary Simpson ; Claimants ? CASE* 91-01556 ; AWARD Hibbard Brown & Company', Inc. ; Rick Laus ; Bill Murray ; Respondents ; CASE SUMMARY Claimant Raymond E. Simpson and Raymond Simpson C/F Zachary Simpson, who appeared pro se, in a claim filed with the National Association of Securities Dealers, Inc.

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Msrrill Lynch Pierce Fenner & Smith Inc. 91-01555 Name of Joseph MsCabe For Claimant : Peter A. Lesser, Esq. of the f inn of Jon L , Sirlin & Associates, P.C. represented Merrill, Lynch,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Gregory M. Meyer Denise M. Meyer Respondents CASE 191-01554 AWARD CASE SUMMARY Claimant Dean Witter Reynolds, Inc., represented by Dominick J. Dorata, Esq., of New York City r in a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1991, alleged that Respondents Gr

ASSQCTAITCN OP In the Matter of the Arbitration Between Mama of Faith M. Hkjghes (fomally Faith M. Cbldaedl) and MJBDB of Sbaarson Lehman Brothers,, Inc. 5.?. Hitton £ Co., Inc. and David Lee 2aaley 91-01552 OP EMBEDS Claimant was represented by Robert D. Mitchell, Esq. of Galbut & Associates, Phoenix, Arizona. Esq. and Robert F. Boos, ware rqpocaseatad lay Jesse B. Esq. of Lewis and Boca, Phoenix, Arizona. Uae Statanent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaJTTnaTjt Pagp'M^ T r>hf|" 01-01855 Alan L. Robin Cheryl A. Phipps Deutsche Bane Alex Brown, Inc. Hearing Sit?' Baltimore, MD PARTTFS Claimant, Alan L. Robin ("Robin"), hereinafter referred to as "Claimant": Alfred L. Scanlan, Jr., Esq., Eccleston and Wolf, Baltimore, Maryland. Respondents, Cheryl A. Phipps ("Phipps") and Deutsche Bane Alex Brown, Inc. ("DB Ale

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Buford Campbell 00-00771 Names of the Respondents Hearing Site: BT Alex Brown, Inc. n/k/a DB Alex. Brown LLC, Tampa, FL Evan Novak, and Everen Securities, Inc. n/k/a First Union Securities, Inc. REPRESENTATION OF PARTIES For Buford Campbell, hereinafter referred to as "Claimant": Michael S. Taaffe, Esq., Abel, Band, Russell, Collier, Pitchford & Gor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-01535 AWARD In the Matter of the Arbitration Between John S. and Mildred C. Wall Claimants vs. Prudential Securities, Inc. Respondent CASE SUMMARY Pro Se Claimants John S. and Mildred C. Wall, in a claim filed with the National Association of Securities Dealers, Inc. on May 20, 1991, alleged that Respondent' s former registered representative and their broker, Ed Rutherford, i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SiJLTJKl'i' I m DEMURS la the Matter of the Arbitration Between Q£ Anne Sill Joan Fox Barbara Kaluzoy 91-01533 Nane of Fiscl Securities, Inc. Jacob Feldman Jason MacKenzie Securities , Inc. For daimants: Anne Sill, Joan Fox »™* Barbara Kaluzny were represented by Gary Saretsky, Esq. and T.iga M. Salvia, Esq. of Hertz p Schram & Saretsky, P.C., Bloomfield Hills, Michigan. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter o£ the Arbitration Between Mary Fernandez vs. NASD #91-01531 Q£ J.W, Gant & Association, Inc. Oppeoheimer & Ccnrjany, Inc. Allied Capital Grmjp, inc. Jan Marie Kennedy- Peter F. Mercaldi John E. Bradley Carl A. MUitello FOOT Claimant: William B, Fedennan, Esq., of Day, Eewett & Fedenoan, Oklahoma City, Oklahoma. For Respondent: (J.W. Gant) David Zizzer, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Aubry and Irene Aubry, JTWROS No. 91-01529 Name of Respondents Shearson Lehman Hutton, Inc. Wilson Rodini REPRESENTATION OF PARTIES For Claimants: Bruce M. Jancovic of Jancovic & Punticelli. For Respondents: Robert J. Kuker of Neal Gerber & Eisenberg. CASE INFORMATION Statement of Claim filed: May 16, 1991. Cl