N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * - Name of Claimant Frederick A. Felter 93-00337 Name of Respondents Hibbard Brown & Co.. Inc. Stephanie E. Murphy CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1, 1993, Claimant Frederick A. Felter, who appeared Pro Se, alleged that on May 1, 1992 based on the recommendation of Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas Black Case vs. #93-00334 Name of Respondent Jeffrey Brooks Securities Inc. REPRESENTATION For Claimant, Douglas Black ("Claimant"), Neil R. Cahn Esq. from the law firm of Newman & Gahn, located in Carle Place, New York. v C\;^ ; For Respondent, JeffreyBrooks Securities, Inc. ("Respondent"), Barry A. Bohrer, °Esq.Mro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wayne and Wanda Bennett by POA Jeffrey Bennett, (Claimants) vs. PaineWebber, Inc., (Respondent) Case Number- 01-00928 Hearing Site.: Pittsburgh, Pennsylvania n Claimants, Wayne and Wanda Bennett by POA Jeffrey Bennett, hereinafter collectively referred to as "Claimants": Mitchel B. Zemel, Esq., Weber Goldstein Greenberg & Gallagher LLP, Pittsburgh, PA (Mr. Zemel wa

NASD Arbitration No. 93-00333 N.ft.S.D. AWARD NATIONAL ASSOCIATION OF SECTTRITTE5 PFaT.KPS. INC. In the matter of the Arbitration Between Name of Claimant(s) Faye Simmons-Hubbard Name of Respondent(s) Shearson Lehman Brothers, Inc. Perry 0. Daboling REPRESENTATION For Claimant: Michael W. Peterkin, Esq., Bend, Oregon and Richard M. Layne, Garvey, Schubert & Barer, Portland, Oregon For Respondents: Ann Parry, Esq., Smith Barney Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gladys S. Minkin et al. Case No. 93-00323 Name of Resoondentf si A.G. Edwards & Sons, Inc. Edmond E. Dorit REPRESENTATION For Claimant, Gladys S. Minkin, individually and as Trustee, et. al ("Minkin"): Marina Shank Klein, Esq., of Fort Lauderdale, Florida. For Respondent, A.G. Edwards & Sons, Inc. ("AGE"): Clay L. Grumke, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OB SECURITIES DEALERS la the Milter of the Aitutauian Between VMM* at CT|rtng|ttl LeeLae vs. NASD #93-00319 Wodboxh Mrano Socurt^^* J Inc. For ftataM*** Anthony J. Horn, Eiq. t Fhlkdalphiat PA Forficapondflntt: Mnio Baton, Wfidbuch Morgan Securities, Iac M Los Angetes CASEJMEQBMAUQZi Stttemeot of Clilm ^i«^" Jjoxtary 29 » 1993 Claimant 1 * Submiflsflan AgupcmaHt sicnod: Janu

HHY-1B-1994 12:46 FROM NRSD-fiRBITPfiTION-OIICfiGO TO 121285B4141 JK.A,S,D, AWARD ASSOCIATION OF ^ECDRITIES DKfcLERS, INC. In the Matter of the Arbitration Between tfaiae of Claimant i Rauscher Pierce Refsnes Inc. No. 93-00307 REPRESENTATION OF PARTIES i Claimant, Rauscher pierce Refsnes, Inc. was represented by James T. Ritt, Esq., of JRauscher, Pierce, Refnes, Inc., Dallas, Texas, I Respondent:, Harold Iianger was represent

D U3L1C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James Molinaro Pension Plan, James J. Molinaro, Trustee 93-00306 Name of Respondents AvinE. Bakai Marsha A. Bakal Phyllis Henderson Berkeley Securities Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimant James Molinaro, wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS En tne Matter of the Artitrauon Berween Name of Alvin Bergman and Enriquetta Bergman 93-00302 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard R. Fulton CASE SUMMARY In a claim Filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimants Alvin & Enriquetta Bergman, who appeared Pro Se, alleged that Respondent Richard Fulton of the

PUBLIC N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joyce Schmidt 93-00300 Name of Respondents F.N. Wolf & Co., Inc. Robert C. Fletcher CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1993, Claimant Joyce Schmidt, who appeared Pro Se, alleged that Respondent Robert C. Fletcher of the Respondent firm F.N. Wolf & Co., Inc. used high