N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William Shockey, Jo Ann C. Shockey McBrady No. 91-01528 Name of Respondent(g) Prudential-Bache Securities. Inc. Thomas E. Turnbaugh REPRESENTATION OF PARTIES For Claimants: John Lieberman, Esq., Chicago, Illinois. For Respondents: Christopher Triapani, Esq. Assistant Vice President, Assistant General Counsel Prudential S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant* s) Frederick Brignull 91-01526 Name of Respondent s) Shearson Lehman Brothers. Inc. Carey Brandfield REPRESENTATION For Claimant, Frederick Brignull ("Claimant"). James B. Turtle. Esq., from the law firm of Breyer Boyajtan & Turtle. For Respondents. Shearson Lehman Hutton ("SLH") and Carey Brandfield ("Brandfield"), Keith

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert & Francine Bernstein Philip Schneider Claimants WITH vs. CASE 391-01525 Century Financial Securities, Inc. Respondent CASE #91-01374 AWARD CONSOLIDATED CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1991, Claimants, Robert & Francine Bernstein, through their counsel, Jeffrey A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Wolfgang Schivelbush Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE #91-01519 AWARD CASE SUMMARY Wolfgang Schivelbush r Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 16, 1991, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to correct fraudul

N.A.S.D. AHKRD NAIXCNRL ASSOdaiTCK OF SECURITIES DEALERS In the Matter of the Arbitration Between pf Cbariea A. and 5Tgrid L NASD Arbitration No. 91-01516 Name of Respondents Services Kenneth Nicolas Robert Newjnaster Russell For Claimant: La Ere Se FOOT Respondent: Certified Financial Services - H. Ttcnas Fehn, Esq. of Fields, Fehn & Sberwin Kenneth Nicolas - In Pro Se Robert Newmaster - la Fro Se John Russell • In F

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Comerica Securities, Inc. and 01-01848 Southfield, Michigan Edward D. Jones & Co., LP. Scott G. Wolter, and Teresa J. Taylor REPRESENTATION OF PARTIES Comerica Securities, Inc. ("Comerica") was represented by James E. Roach, Esq., Vercruysse Metz & Murray, Bingham Farms, Michigan, and Sally A. Noerr, Comerica Securities, Detroit, Michigan. Edward D. Jones &

N.A.S.D. AWARD NATICNMi ASSQCIKTICN OF SECURITIES DEALERS In the Matter of the Azbitration Between Name of Gregory Boratgis 91-01503 Name of Respondents; PaineWebber, Inc. Michael F- Pcppo For Claimant: Claimant appeared pro se at ****** hearing. For Respondents: Patrick Bowie/, Esq., in bouse counsel at PaineWebber, Inc. Claimant filed a Statement of < *i»-hn dated. May 13, 1991 and executed a Submission Agreement on May 13, 1991. Re

ASSOCIATION OF SECURITIES DEALERS In the Ifetter of the Arbitration Between Name of Lane E. Harrison vs. 91-01512 Fidelity Brokerage Services, lac. For Claimant: John Clone, Solana Beach, California. For Respondent: Richard P. Murphy, Esq./ Gray, Cary, £mes & Frye, San Diego, California. Statement of rna-im filed: May 15, 1391 Claimant's Submission Agreement signed on: May 3, 1591 Statement of Answer filed by Respondent on: July 23, 1391

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between n-P Al Barrios Ilan Israaly vs. NASD #91-01505 NaneofResDondents Shearson T^a^mar^ Hutton, Inc Alan ££intex. For daimants: David E. Frank, Esq., Log Angeles, California For Respondents: E. Scott Douglas, Esq Keesal, Young & Logan, Long Beach, California Statement of n»^ filed: May 14, 1991 signed: ApCil 2, 1991 Joint Statanant o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard M. Royce Claimant vs. CASE £91-01504 AWARD Robert Soehngen Respondent CASE SUMMARY Claimant Richard M. Royce, pro se in a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1991, alleged that Respondent Robert Soehngen misrepresented a common stock entitled American Spirit Corp. Claimant alleged that he