NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02743 AWARD In the Matter of the Arbitration Between Morris E. Vickers Claimant vs. Russell Koch Ted Myer Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant Morris E. Vickers who appeared Pro Se, alleged that on April 18, 1989 Respondent Russell Koch, President of Kochcapital highly recommended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02741 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Cynthia D. Sadler, MD Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant PaineWebber,. Inc. through their in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Cynthia D. Sadler, MD has refused to pay a

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jack Deem and 01-00803 Kansas City, Missouri Name of Respondents Vestax Securities Corporation Paul W. Ewing and Name of Third Party Respondent Robert Keith Hoddick REPRESENTATION OF PARTIES Jack Deem ("Claimant") was represented by John J. Miller, Esq., Law Offices of John J. Miller, P.A., Kansas City, Missouri. Vestax Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Winston E. Cochran 91-02737 Name of Respondents Dominick & Dominick Incorporated James Glenn John Moysey REPRESENTATION Claimant Winston E. Cochran ("Claimant") represented himself. Respondents Dominick & Dominick. Inc.. James Glenn aruf John Moysey (collectively referred to as "Respondents") were represented by William

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02733 AWARD In the Matter of the Arbitration Between Dominick A. Conte Claimant vs. » G,K. Scott Sc Co., Inc. and Allerton Towne Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc., on September 3, 1991 f Claimant Dominick A. Conte who appeared Pro Se, alleged that Respondents G.K. Scott & Co., Inc. and their Regi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howard E. & Helen Evans Case # vs. 91-02731 Name of Respondents Shearson Lehman Brothers. Inc. Gary H. Cohen Christopher J. Bonnar REPRESENTATION Claimants. Howard E. & Helen M. Evans ("Claimants") were not represented by counsel. For Respondents, Shearson Lehman Brothers. Inc. ("Shearson") and Gary H. Cohen {"Cohen"),

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02730 AWARD In the Matter of the Arbitration Between Howard D. and Elsie L. Schmidt Claimants vs. Yaeger Securities, Inc. David Goldring Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimants, Howard D. and Elsie L. Schmidt by and through their counsel, Thomas W. Donohue, Esq. of Titus

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02729 AWARD In the Matter of the Arbitration Between Charles V. Kiesewetter Claimant vs. Gilford Securities, Inc. Angelo Armenta Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimant, Charles V. Kiesewetter, who appeared Pro Se, alleged that Respondent, Angelo Armenta, under the supervi

:iATIC:»L ASSOCIATION C? SSC-TO==S r3ALSSS. -^C. in cr-e Macner cf zie Arbitration Between Ronald 3. TJzoarpson VS. PaineWetoer, lac. Kenneth Hess Respondenta ANKKD STM4AHY ui, ILUd :< «nn. »••• scia :c and s asae nvlnwl ta. :li« "4 nc. - •"« . Ken tcc . d lr.vtitina« f ais r.oldiugs. nc counsei Scocr saechick. 3 accordance wit* cha Claiaanc • 3 i bad diocussed iavescin.nc ac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Anita Galvin 91-02727 Name of Respondent s) Pnidential-Bache Securities Inc. REPRESENTATION For Claimant, Anita Galvin ("Galvin"): pro se. For Respondent. Prudential-Bache Securities Inc. ("Prudential"): Nancy Basri, Esq. of Prudential. CASE INFORMATION Statement of Claim filed on October 24, 1991. Claimant's Submissio