N.A.S.D. AWARD NATIONAL ASSOCIATION OF SHUUklTlKS DEALERS' In the letter of the Arbitration Between ) ) Hame of Claimant (a) ) === ) Charles Meltzer ) ) Case No. 91-01139 ) Name of Resprnrlpntte) ) ) Prudential-Bache Securities Inc. ) Mark Finkel ) Claimant, Charles Meltzer ("Meltzer") was initially represented by Mtndy Felinton, Esq., but discharged her after two (2) sessions and was pro se for < **M» remainder of fche ca

N.A.S.D. WARD NATKNAL ASSOCIATION OF SECURITIES DEAIERS In the Matter of the Arbitration Betwoon Of Panzieri Henderson Inc. 91-01128 Prudential Securities Inc. Richard C. Miller Steven J. Meneely For dadjnant: David W. Marris, Esq., Sole Practitiooer. For Respondents: David T. Garvey, Esq. of Hancock & Estabrook. CRSE daisant filed a Statement of Claim on Jipril 5 f 1991 and executed a Submission Agreement on an unspecified d

1 I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C3a-imaTit- PaineWebber, Incorporated 91-01127 Name of Respondent Anthony Lee REPRESENTATION For Claimant: Brigitta K. Siegel, Esq. For Respondent: Francis X. Stone, Esq. CASE INFORMATION Statement of Claim filed: April 10, 1991. Claimant's Motion to Bar Unasserted Defenses filed: September 19, 1991. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Zoly Shteynberg Sofya Shteynberg vs. 91-01120 Pacific Asset Group, Inc. Richard Arrington For Claimant: 2oiy Shteynberg of 2262 17th Avenue, San Francisco, CA 94116 For Reepondant Pacific Asset Group, Inc.: Gene Valentine of Financial Wast Group, 2977 Willow Lane, Thousand Oaks, CA 91361 For Respondent Richard Arrington: Richard Arrington f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Leonard Evantash & Leonard Evantash Architects, P.C. 91-01118 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Michael C. Mullett For Claimants: Appeared pro se through Leonard Evantash. For Respondents: Todd A. Zuckerbrod, Esq., in-house counsel. Statement of Claim filed: April 10, 1991. Claimants' Submission Agreement signed on: A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Annette Marie Grubich 91-01115 Name of Respondent/Counter-Claimant Lovett Underwood Neuhaus & Webb, a division of Kemper Securities Group, Inc. (incorrectly named as Lovett Mitchell Webb & Garrison, Inc.). REPRESENTATION For Claimant/Counter-Respondent: Annette Marie Grubich was represented by John M.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-01112 ANARD In che Matter of the Arbitration Between Dana R. Dodson Claimant vs. Raymond A. Frias Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 9, 1991, Claimant Dana R. Dodson, who appeared Pro Se, alleged that Respondent Raymond A. Frias failed to sell 2,500 shares of UTS-Quicksilver Enterprises, Inc. after he was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Patrick G; Henry and Richard W. Bowers 91-01099 Names of Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc., Max Cates, Robert Hollinger and Boettcher & Co., Inc. REPRESENTATION Claimants were represented by Victoria Gruver, Esq. of North &. Vainu P.C., Phoenix, Arizona. Respondent, Shea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James and Shirley Bell, JTWROS, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc., Patricia Gail Williams, Michael Delano Cheek, Respondents Case Number: 01-01813 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents: Bryan I Reyhani, Esq. Merrill Lynch Pierce

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE f91-01097 AWARD In the Matter of the Arbitration Between Dale and Mary Jane Seeman Claimants vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY Pro Se Claimants, Dale and Mary Jane Seeman, in a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1991, alleged that Respondent Shearson Lehman Brothers, Inc. failed to transfer to Rauscher Pierce R