PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01076 AWARD In the Matter of the Arbitration Between Jerry G. Walz Claimant. vs. Prudential-Bache Securities, Inc. n/Jc/a Prudential Securities, Inc. and Philip K. Harris Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, Claimant Jerry G. Walz, who appeared Pro Se , alleged that Respondents, Pru

PUBLIC Arbitration y N.A.S.D. AWARD NATICNRL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marsha H. Klein vs. Name of Respondents Descap Securities, Inc. Joseph H* Clinard Daniel Robert Levy Case # 91-01074 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimant, Marsha

WJLS.D. AWARD NATIONAL ASSQdWICN OF In the Matter of the Arbitration Between Name of m Stephen R. Cof fey Name of F Philip Woracfc 91-01069 daiiDBnt Steptan R. Cbffey {"Claimant") Ferlazzo, Esq. of the law firm of O'Connell & Arcoowitz. Respcodeat Philip Horacfc ("Raspoodoit 1 ') was by Salvatore D. by himself. Stataneat of ^«< " filed: April 4, 1591. Claimant's SubtnissicQ Agreen>ent, signed en: Pfiteuaxy 27, 1991. St

NATIONAL ASSOCIATION OF SECURITIES -DEALERS, INC. In the Matter of the Arbitration Between Nathan A. Duncan and Margaret M. Duncan, JTWROS Claimants vs. Waterhouse Securities, Inc. Respondent CASE 191-01068 AWARD CASE SUMMARY Claimants Nathan A. Duncan and Margaret M. Duncan, appearing pro se f in a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1991, alleged that Respondent Waterhouse Secur

PUBLIC N.A.S.D. AWARD ASSCdXTKXI OF SECURITIES TTRRTJFRS la the Matter of the Arbitration Between FaineMabber, Inc. Case # 91-01065 William Weiner For dainant: ELyse Adrian, Esq., in-house counsel. Sarah Anderson, Esq., in-house counsel. Bespondent did not appear the bearing. Statement of rn»«hn filed: April 4, daixoant's Submission Agreement signed ant April 2 f 1991. it of Answer or execute a S Date/Bearing Seasicn: Zto

Arbitration National Association of M «n Sacuritiaa Dcators, Inc. H.A.S.D. JWAKD NASO Financial Center 33 Whitehall Street ASSOCIATION OF Stf.TJki'i'"^ DEADERS New York. N.Y. 10004 FAX (212)858-4389 In the Matter of the Arbitration Between Name of *" f lfiin g>Tl t Nathan Fisher 91-01064 Name of Gompany Michael Dominkowitz For daajMnt Nathan Piaber ("CLaiaBnt"): R. Jeffrey More, Esq. of the firm Colenan &

PUBLIC Arbitration a N A S r» aWAPn National Association of N.A.b.u. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 Name of Clainant Marine Midland Bank N.A. as Executor Of the Estate of Margaret Free Case # vs. 91-01057 Name_of_Resojndents Shearson T>hman Brothers, Inc. Daniel

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter of the Arbitration Between Charles R. Wallace, Claimant and No. 91-01055 Prudential-Bache Securities Inc., Respondent Arden H. Berg, Respondent ARBITRATORS AWARD HEARD BEFORE: John L. Evans, Jr. Public Arbitrator 1 . PARTIES: Claimant: Charles R. Wallace Represented by: Walter V. Hines Attorney at Law Respondents: Prudential-Bache Securities, Inc.. Arden H. Berg Represe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Keith Bosek and Anastasia LeCuyer V. 01-01808 Minneapolis, Minnesota Respondents U.S. Bancorp Piper Jaffray, Inc. and Mark Tiegen REPRESENTATION OF PARTIES Keith Bosek and Anastasia LeCuyer ("Claimants") were represented by Lewis A. Remle, Jr., Esq., of Bassford, Lockhart, Trusdell & Briggs, Minneapolis, Minnesota. U.S. Bancorp Piper Jaffray, Inc. ("U.S. Ban

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASK #91-01053 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Richard Burger Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1991, Claimant PaineWebber, Inc. tnrougn it's in-house counsel, Garry J. Stegeland, Esq., alleged tftat Respondent Richard Burger failed to pay a debit balance