PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04093 AWARD In the Matter of the Arbitration Between Andre Burton Claimant vs. Chatfield Dean & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 27, 1991, Claimant, Andre Burton; who appeared Pro Se, alleged that Respondent, Chatfield Dean & Co. overcharged him for his purchase of 1,000 shares of Gree

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Richard Safford and 01-00863 Southfield, Michigan State Street Securities, Inc. n/k/a Taylor Stuart Financial, Inc., and Michael Anthony Lodispoto REPRESENTATION OF PARTIES Richard Safford ("Claimant") was represented Joel H. Kaufman, Esq., Farmington Hills, Michigan. State Street Securities, Inc. n/k/a Taylor Stuart Financial, Inc. ("TSF") was represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Jane Brush ) ) ) Case No. 91-04085 ) Name of Respondent(s) ) ) Dean Witter Reynolds, Inc. ) Augustus G. DeLong, Jr. ) REPRESENTATION For Claimant, Jane Brash ("Brush"): Patricia A. Shub, Esq. of Patricia A. Shub, P.A. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Augustus G. De Long, Jr.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -he Arbitration Between George Nishio Claimant CASE #91-04084 AWARD vs. Shearson Lehman Brothers, Inc. Raymond M. Rennie Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24, 1991, Claimant George Nishio who appeared Pro Se, alleged that Respondents Shearson Lehman Brothers, Inc. and Raymond M

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04083 AWARD in the Matter of the Arbitration Between Myron Kail Claimant vs. Carl Roba Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24, 1991, Claimant Myron Kail by and through his counsel Thomas W. Donohue, Esq. of Titus, Brueckner & Barry, Scottsdale, Arizona, alleged that as .an unsophisticated

N.A.S.D. AWARD NATICKRL ASSCCianCN OF SECURITIES DEALERS In the Matter of the Arbitration Between NofClainant p .^g^^mn NASD Arbitration 91-04080 Shearson r^j-amm Brothers p Inc. Cross - For Claimant: Mark C. Riedel, Esq. - Dickson, Carlson & For Respondent: Shearsca T^»«m Brothers - m**hm>i M. decs, Esq. - Keesalr Young & Logan For Cross-Respondent: Marty Grosaoan - Robert Wayne Pearce Esq* - Tuamffr & Faazce, P. A. Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Salvadore Tony Ricca Constance Joan Ricca va. 91-04076 Name of Respondent(s1 McClurg Capital Corporation David McClurg Bruce A. Porter REPRESENTATION For Claimants: William J. Moriarty, Esq., Larkspur, California For Respondents: Jonathan Polland, Esq. , Grif finger. Freed, Heinemann, Cook and Foreman, San Franci

PUBLIC ^F SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wendley K. Kekauoha Claimant AWARD vs. Madison Chapin & Associates, Inc OTRA Clearing, Inc. Bill Kellman Respondents CASE 391-04075 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 24; 1991, Claimant Wendley K, Kekauoha who appeared Pro Se, alleged that in July 1990 Respondents Madison Chapin & As

Arbitration N . A . S . D . AW ARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 New York. N.Y 1 0004 In the Matter of the Arbitration Between FAX (2 12)858-4389 N'ame of Claimant ferome Feldman 91-04073 Name of Respondent M.H. Meverson £. Co.. Inc. REPRESENTATION For Claimant: Walter D'UII. Esq., Sole Practitioner. For Respondent: Lawrence J. Toscano. Esq. of Heller. Horowitz & Feit.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne E. Bundy 91-04071 Name of Respondent Goldman, Sachs & Co. REPRESENTATION For Claimant: Laurence J. Eisenstein, Esq. of the law firm of Covington & Burling. For Respondent: Franklin Poul, Esq. of the law firm of Wolf, Block, Schorr & Solis-Cohen. CASE INFORMATION Statement of Claim filed: December 23, 1991.