N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfaOJRiTlES DEALERS In the totter of the Arbitration Betwesi of Joe R. & Margaret H. Dobson 92-00438 Name of Respcmdpnts Choice Investments Inc. Donald Itzen For Claimant: Joe R. Dcbson ^TV! Margaret H. Dcfoson were represented by Terrenes Kendall, Esq. of Kendall, Randle, Finch & Osborn, located in Austin, Texas. For Respondents: Choice Investments Inc. was represented by James G. Kaighln of Ch

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mid-South Engineering Company Employees Profit Sharing Plan by and Through its Trustee Case No. 01-00874 Don Donathan Name of Respondent Stephens, Inc. Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Mid-South Engineering Company Employees Profit Sharing Plan by and Through its Trustee Don Donathan, hereinafter referred to as "Cl

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Matt & Frances Moreili 92-00437 Name of Respondents Frank Bauer Nevada Financial Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1992, Claimants Matt & Frances Moreili who appeared Pro Se, alleged that in October 1985, in the presence of their accou

N.A.S.D. AWARD ASSOCIATION OF SMCITRITISS DEALERS In the Ifettsr of the Arbitration Between Of Silvestros D. Silvestros 92-00436 Name of Ira M. Zadikow South Riclmond Securities Inc. For Claimant: Daniel F. Webb, Esq., Chicago, Illinois. For Respondent South Rictanond Securities, Inc.: Clrino M. Bruno, Esq. of Gusrae, Kaplan & Bruno, New York, New York. Respondent Ira M. Zaditow appear Statement of rn«^ filed: October 25, 1991. C

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS hi the Matter of the Arbitration Between Name of Claimant si Refael Katz and Tova Katz 92-00432 Name of Respondent! s) Austin Securities REPRESENTATION For Claimant: Steven S. Segail. Esq. ot" Katz, Kleinbaum. Fatter & Segail. For Respondent: Cindy R. Penchuk on behalf of Michael M. Permian. Esq. a sole practitioner. CASE INFORMATION Statement of Claim filed: February 4

SENT BY;HQKARD $ HOWARD ; 9-29-92 ; 16:30 ; KALAMAZOO- 312 236 3239;# 2 09-29-1990 B2I3GPH FROH NflSD A-bitr*tion-Ch 10*90 TO ] 6163321568 P.03 H.A.S.D. AX*BD SAIIO«L ASSOCIATION OF SBCURZTZBS DBALSRS xn tha rtartar of tha Arbitration Batman Of f"l A4flUM* Tboaaa M. Kalty and 92-00431 Shaarion lAhttan Brothers, Inc. claimant was r«pr»»«nt«d by Joanna Kftlty of Grand Rapids r Kichigan. r«pr«««iktMd by Star* J. itaiBSr Bag. and Karen A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUPTTTRS DEALERS In the Matter of the Arbitration Between Name of Claimant*^ Robert H. Eaton and Eula M. Eaton, Individually and as Trustees FBO Eula M. and Robert H. Eaton Trust Dated 3-15-1984 NASD Arbitration No.92-00430 Name of Respondent^ PaineWebber, Inc. Steven R. Baaden Raymond McClure REPRESENTATION For Claimants: Robert H. Eaton, Rancho Palos Verdes, California For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between P 1 lot tp 1 o ^U (j Name of Claimant(s) Audrey Atlas 92-00427 Name of Respondentfs) Shearson Lehman Brothers, Inc. George Kimmel REPRESENTATION For Claimant Audrey Atlas: Gary N. Weintaub, Esq. of the law firm of Farulo. Caputi, Weintraub and Ne'ary. For Respondents Shearson Lehman Brothers, Inc. and George Kimmel: Paul R.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00426 AWARD In the Matter of the Arbitration Between Lillian Raffaelo Claimant vs. Josephthal & Co. n/k/a JSC Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1992, Claimant, Lillian Raffaelo, who appeared Pro Se, alleged that Respondent, Josephthal & Co., Inc. failed to have the name

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Herschel E. Zirger 92-00423 Name of Respondents Bear Stearns & Co., Inc. Steven R. Sheresky REPRESENTATION For Claimant: Patrick Gaas, Esq. and Kathy Hix, Esq. of Brewer .and Pritchard, Houston, Texas. Respondents: James C. Slaughter, Esq. of Fulbright and Jaworski, Houston, Texas, CASE INFORMATION Statement of