N.A.S.D. AWARD NATICNftL ASSQCIOTICN OF SECURITIES DEALERS In the totter of the Arbitration Between Name of Claimant Joseph A. Spurchise 91-01014 Name of Prudential Securities,. Inc. John W.B. Shamlian For Claimant: Samuel J. Costa, Esq, For both Respondents; Christopher P. Trapani, Esq. , in-house counsel. JliPORMMTCM Statement of Claim filed: April 02 , 1991. Claimant's Submission Agreensnt signed: February 27, 1991. Joint Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between ; i George Loukides ' / Claimant ' vs . CASE #91-01009 AWARD George Bauer Respondent SUMMARY Pro Se Claimant, George Loukides, in a claim filed with the National Association of Securities Dealers, Inc. on^ April.2, 1991, alleged that Respondent George Bauer of Le ^9 Ma ?°" " O °^ walker, Inc. misled him into in

N.A.S.D. AWARD . //.ir^} '" ' '. y/r NATIONAL ASSOCIATION OF SECURITIES DEALERS r- In the Matter of the Arbitration Between Name of Claimant George Myers 91-01005 .-, "f*~ Name of Respondents Offerman & Company, Inc. Richard A. Hogan REPRESENTATION For Claimant at the hearing: Rex L. Buxton, Esq. of The Law Offices of Skaar & McCullough, Minneapolis. Minnesota. For Respondents at the hearing: Terrcnce J. Fleming, Esq. of Lindquis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Keren Hachesed of Jfonsey, Inc. 91-01003 Name of Respondent Prudential-Bache Securities, Inc. For Claimant: John J. Phelan, III, Esq. of the law firm of Phelan & Costello, P.C. For Respondent: Jeffrey Sims, Esq. of the law firm of Wilson, Elser, MDskowitz, Edelman & Dicker. Statement of Claim filed: April 2, 1991. Clai

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Peter S. Rosenberg vs. Name of Respondent Shearson Lehman Hutton, Inc. Smith Barney Harris Upham & Co. , Inc. Jeremiah J. Regan Arbitration National Association of Saeurities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 91-00998 For Claimant: leuan

N.A.S.D. AWARD NATICURL ASsociftncN OF SECDRTTIES DEALERS In the Matter of the Arbitration Between »< TH am E. Reisinger, Jr. 91-00995 Name QfResPondentte) Tucker Anthony Incorporated John. Peter Cfariatus Robin Oliver For Claimant: Bterd J. Kabala, Esq. For Respondent: Paul A. Liebenaon, Esq. of Tucker Anthony Incorporated. Statement of Oa1m filed: April 2, 1991* Claimant's Submission Agreement signed on: March 25, 1991 Joint Sta

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. .CASE:01-01797 Charles Schwab & Co., Inc., claimant vs. Joseph John Lombard!, respondent. ATTORNEYS: For Claimant appeared Edmund V, Saucedo, Collections Case Manager, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay an unsecured debit balance caused by a stop transfer cr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Westwind Productions, Inc., Claimant v. Joseph Gunnar & Co., Respondent Case Number: 00-00763 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Westwind Productions, Inc.: William C. Webb Westwind Productions, Inc. Marina Del Rey, California For Respondent Joseph Gunnar & Co.: Gregg R. Evangelist, Esq. Joseph Gunnar & Co. New York, New Yo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George and Charlotte Dean Claimants • vs. . \ CASE $91-00992 AWARD Orlando Rodriguez McLaughlin, Piven, Vogel Securities, Inc Respondents CASE SUMMARY Pro Se Claimants, George & Charlotte Dean, in a claim with the National Association of Securities Dealers, Inc. on April 1, 1991, alleged that Respondent Orlando Rodriguez executed an unauthor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sydney Huber Claimant AWARD vs. Bear Stearns & Co., Inc. Mark McHugh Respondents Case #91-00988 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on .April l, 1991, Claimant, Sydney Huber who appeared pro se, alleged that Respondent Bear Stearns & Co., Inc. and Mark McHugh withheld pertinent information