N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grace C. Conolly . _ No. 92-01924 Name of Respondents Olde Discount Corp. Mark D. Kendall REPRESENTATION OF PARTIES Claimant appeared pro se. For Respondents: Bruce C. Campbell, Esq., Corporate Attorney, PIde Discount Corp., Detroit Michigan. CASE INFORMATION Statement of Claim filed: June 8, 1992. Claimants' Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDttrauon Between Names of Claimants Raymond W. & Flora L. Johnson —- 92-01922 Names of Respondents Merrill Lynch. Pierce Fenner & Smith Inc Dexter Johnston REPRESENTATION Claimants, Raymond and Flora Johnson were represented by Daniel D. Maynard. Esq. of Johnston, Maynard, Gram & Parker, Phoenix, Arizona. Respondents, Merrill Lynch, Pierce, Fenner & Smith, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerry W. Cousins 92-01917 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 8, 1992, Claimant, Jerry W. Cousins ("Cousins") who appeared pro se alleged that the Respondent, PaineWebber, Inc. ("PaineWebber") is liable to the Claimant for

Award NASD Dispute Resolution In the Matter 01 the Arbitration between: Names of the Claimants Case Number: 01-00913 Taufiqul I. and Owmwatie Chowdhury • Names of the Respondents Hearing Site: Boca Raton, Florida Michael Paul Borrone J.B. Oxford & Company REPRESENTATION OF PARTIES For Taufiqul I. and Owmwatie Chowdhury ("Chowdhury"), hereinafter collectively referred to as "Claimants": Dale Ledbetter, Mastriana & Christiansen, PA, Fort Lauderdal

/ ~~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ma** of *e Arbitration Between of Claimants Ralph and Tammie Vermillo Case No. 92-01914 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Norman D. Schuermann REPRESENTATION For Claimants, Ralph and Tammie Vermillo ("the Vermillo' s tf ): Andrew Balog, Esq. of Merkle and Magri, P. A. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Me

N.A.S.D. AWARD ; . ,;^ ^;;^ ,. , l/?; - ,^j • . ~* x —•»^,.,_ i '-• i_V f er NATIONAL ASSOCIATION OF SECURITIES DEALERS ,.., "'/ ^281993 '< !• In the Matter of the Arbitration Between *--•-.-.. Name of Claimants ' "*'-"-""v*. E. Terry and Candy Banbury #92-01909 Name of Respondent Hayne, Miller, & Farni, Inc. REPRESENTATION OF PARTIES For Claimants at the hearing: Pro Se. For Respondents at the hearing: Gre

N.A.S.D. CORRECTED AWARD ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of G. William Filley as Executor of the Will of ? h eg* - y R. McGrath NASD Arbitration No, 92-01901 Name of Respondent Smith. Barney, Harris U£ham & Co., Inc. For Claimant: Reed H. Bement, Esq., San Francisco, California. For Respondent: William L. Riley, Esq., and Gregory C. Tenboff, Esq., Qrrick, Harrington & Sut

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harold & Ann Stein as Trustees for the Harold and Ann Stein Revocable Living Trust Case No. 92-01891 Name of Respondent(s) PaineWebber, Inc. Samuel Litt Hank Martin Philip Lubetkin REPRESENTATION Claimants, Harold and Ann Stein, as Trustees for the Harold and Ann Stein Revocable Living Trust ("the Steins"): P

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant* si Philip H. Puder, Trustee Philip H. Puder Revocable Trust vs. 92-01SS: Name of Respondent* s) Smith Barney Harris Upham & Co.. lac. Charies R. Carvana CASE SUMMARY [n a claim tiled with the National Association of" Securities Dealers. Inc. on June 04, 1992. Claimant Philip H. Puder who appeared pro se, alleged

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome Dipentino 92-01878 Name of Respondents Dominick & Dominick Incorporated Jack Mergner. Jr. Robert Hladek REPRESENTATION Claimant Jerome Dipentino ("Claimant") was represented by: Lawrence Gelber, Esq. of the law firm of Beigei and Sandier. Respondents Dominick & Dominick, Inc. ("Dominick") and Robert Hladek ("