NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE /91-02695 AWARD In the Matter of the Arbitration Between Elizabeth J. Manning Claimant vs. Invest Financial Corp. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, claimant Elizabeth J. Manning, who appeared Pro Se, alleged that Respondent Invest Financial Corp. is responsible for the loss of principal the Claima

N.A.S.D. AWARD NKTICUAL ASSOCIATION OF SBCORITE2S DEALERS In tbje Matter of the Arbitration Between Name of Claimant Deborah Cove/ vs. NASD #91-02687 NnzieofResDoncjents Donaldson, T-n-FUn £ Jenrette For dainant: Rcbert J. Adolpih, Esq., of Adolph & Smith, P.S., Seattle, For Respondents: Michael lawson, Esq., of Steefel, Levitt & Weiss, San Francisco, Califoznia.. OM5B Statement of rialm filed: August 29, 1991 daiioa&t's Submission A

H.A.S.D. NATIONAL ASSOCIATION OF StfJUKlT * ***** DERI£RS In the natter of the Arbitration. jmH 91-02681 Hatcxin Lynch, Pierce Feoner & 3n±tlilnc Cynthia Cargill Hayden Pnnn Uxvestinsnt Affflo?1ntf*ff Dennis D. Dean C.E. Dean and Associates, Inc. Jena than S. Fbr ^Ha< t«mtat Cheryl P. Hunter, Esq. of TfaMMit'^na & Hunter, Cklahcma City, Cklahcnfli* Fbr Respondents Merrill Lynch, Pierce Penner & aaiith, IDC. and Cynthia Cargill Hay

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02677 AWARD In the Matter of the Arbitration Between Michael Schneider Claimant vs. Edward Green Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant Michael Schneider, who appeared Pro Se, alleged that Respondent Edward Green of the firm Whitehouse & Moore Investments, which is now out of bu

N.A.S.D. AWARD NftUCNAL ASSOCIATION OF SBCTRITTES DEALERS In the Matter of the Arbitration Between Name of Claimant Blain H. Marchand 91-02674 Of P*fcgpnnf!ian^ Brothers, Inc, Kgtyjg-.MNfi-n-i-.mT Claimant Blain H. Marcbaud ("Claimant") was represented by Howard B. D'Amico of the law firm of Kirkpatrick & Associates. Respondent Shearson T^atanan Brothers, Inc. ("Respondent**) was represented by Christopher T. Litterio of the law firm Sha

Arbrt ration N.A.S.D. AWARD National Association of _ - Securities Dealers. Inc. NATIONAL ASSOCIATION OF SBLTJklTUSS DEALERS NASD Financial Center _ 33 Whitehall Street In the Matter of the Arbitration Between Mams of Claimant Ralph J. Pollack 91-02671 Citicorp Financial Services Rindy O'Connor For Claimant Ralph J. Pollack ("Claimant") : Michael C. Simon, a sole practitioner. For Respondents Citicorp Financial Services ("Citicorp")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02670 AWARD In the Matter of the Arbitration Between Donald R. Schoene Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant Donald R. Schoene who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. recommended the purchase of a Bond fund named High

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. and 01-00797 Dallas, Texas Name of Respondents Southwest Securities, Inc. and SWS Financial Services, Inc. ("Claimants") were represented by Corbet F. Bryant, Esquire, Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Gaylon Nelson Cox ("Respondent") did not appear. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Bermont Fanners ) ) Case No. 91-02669 Name of Respondent si ) ) Gilford Securities Incorporated ) H. Robert Holmes ) Gilbrooke Associates, Inc. ) Lennox Securities, Inc. ) REPRESENTATION For Claimant, Bermont Partners ("Bermont"): Curtis Carlson, Esq. of Carlson Bales & Schwed, P.A. For Respon

PUBLIC NATIONAL ASSOCIATION 0? SKt'URlTISS DEALERS, INC, in the Matter of the Arbitration Between Billy J. fitter Claimant Vfl . Michael c. Jordan Richard w. Respondents #91-02230 AWARD la a claim fil.d with ss-»? ^ Richard W. Sauman uC Uw Lfrm uf - *„ noo 8 1/2 , without auchorization, a «470 ,000 8 i/^ -. O Coupon ciid co him. TB. Clainanc Jurtn.r C. Jordan. . . R M pondenta Michael C. Jo