PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC, CASE #91-01096 AWARD In nhe Matter of the Arbitration Between Mary C. Berry Claimant vs. Dain Bosworth, Inc. Anthony M. Quirini The Milwaukee Co. Hamilton Investment, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1991, Claimant Mary C. Berry who appeared Pro Se, alleged that Respondent Anthony Qui

Arbitration N.A.S.D, AWARD National Association of Securities Dealers, Inc. .*.«*«-»*»* nfirvsmmim** yv« .... .......... _. ^^-^p,- NASD Financial Center NATIONAL ASSOCTATICN OF SECURITIES DEMURS 33 Whitehal , Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Elaine Reader 91-01095 Name of Respondents First Interregional Equity Corporation Lawrence J. Donerty For Claimant EHa

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS, INC* In the Matter of the Arbitration Between nf 91-01093 W&lter H. Hill, Jr. Dean Witter Reynolds, Inc. Ray Powell For Claimant: For Respondents: Donald W. Stewart, Esq. A. Daxmer Frazer, Esq. of **** law firm of Frazer, Greene Philpot & XljpchurGh* CASE Statement of rnaHm filed on: April 4, 1991* Claimant's Submission Agreement signed on: April 3, 1991. Joint St

.D. AWARD NKTICKRL ASSOCXmCtl OF .SidTURiTUBS TTP&T.gpg f in the Matter o£ the Arbitration Betwci of dalnant Mary Las Williams Name of Resoqadjeats Dean Witter Reynolds, Inc. Kay Powell 91*01091 For Claimant: w. Stfewart, Eaq. For Respondents: A. Danner Frazer, Jr., Esq. of the law fim of Frazeor, Greene, Philpot & Stataosnt of ^«-*« filed en: April 8 P 1991. dadnant's Sutnission Agreement signed on: April 3, 1591.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-01088 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. James E. Smith Respondent CASE SUMMARY PaineWebber, Inc. by its counsel Garry J. Stegeland, Weehawken, NJ f in a claim filed with the National Association of Securities Dealers, Inc. on April 8, 1991, alleged that Respondent James E. Smith has failed to pay a debit balance in his custom

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01082 AMAHD In the Matter of the Arbitration Between Mary E. Folkner (Soika) Claimant vs. M. Rimson & Co., Inc. Joseph Swint Resnondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, Claimant Mary. E. Follcner (Soika) , who appeared Pro Se~, alleged that Respondents M. Rimson & Co., Inc. and Joseph Swint were negl

Arbitration N.A.S.D. ANAKD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATICN OF SHJURi'i'JJBS DHHBRS 33 Whitehall Street _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4339 Gooxyu Feliciano 91-01081 Name of James Agfloci.'jitgg / Inc. Gregory Both Jamas Rooney For Claimant: najuju Feliciano i-*yrgMM»ii^5 himself. For Respondents T*y™>q James Associates, Inc. , Gregory Roth and James R

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC In the Matter of the Arbitration Between Jack W. Fuller Claimant vs. CASE #91-01079 AWARD PaineWebber r Inc. Respondent CASE SUMMARY Pro Se Claimant, Jack W. Fuller, in a claim filed with the National Association of Securities Dealers, Inc . on April 5, 1991, alleged that Respondent PaineWebber, Inc. by its broker, Gary Cordrey, recommended an inappropriate and unacceptable inve

N.A.S.D. AWARD NttonaJ AMOCtttton Of SeCUrtflBB OeflfcM* IOC- NATIONAL ASSOCIATION OF SadCUKiTlKS DEALERS NASD RnaneM C«ntar New Vortt N.Y. 10004 In the Matter of the Arbitration Between FAX (21 2) 858-4389 Of 91-01078 Name of Resprmrlpnt Edward N. Hodman Fbr Claimant Catherine Abdelrdtman ("Claimant") : she appeared pro se. Far Respondent Howard N. Hryhmmn ("HocbDan") : be appeared pro se. Statanent of n«< m filed: March 22, 1991. dainan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Eisen and Lev Shvarts, Claimants v. GBS Financial Corp., Gerard P. Gloisten and Donald G. Gloisten, Respondents Case Number: 01-01809 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Michael Blumenfeld, Esq. Freeman, Freeman & Smiley, LLP Los Angeles, California For Respondents: F. James Feffer, Esq. Sherman Oaks, California