NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; i Sharon H. & Robert G. Reinhardt / Claimant ; vs. ; CASE #91-02128 ; AWARD Stuart-James Company ; Douglas Ward / Respondents ; CASK SUfrMftRY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1991, Claimant Sharon & Robert Reinhardt who appeared pro se, alleged that Respondent Douglas Ward, a r

PUBLIC Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. «**»**•*•«.* ,«««~«««.,-., «« .... . , . ______ , ^—.—-^ NASD Financial Center NATICNftL ASSOdATiaj OF SECDRITIES DEALERS 33 Whitehall Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Edon Corporation Defined Benefit et al. 91-02127 Name of Respondents Prudential Securities James 6. Gertz Rich

—AMSGL H.A.S.D. AMAKD Nsttonel Aaaodatton of StcurithM Dieliff. Inc. NAnaW* ASSOCIATION OP SHLDHI'i'iup EEAURS On» E«« Srawtfd Boulevard Surte 1000 Ft. Laudertiato, Florida 33301 . (305) 522-7391 In the Matter of the Arbitration Between Same of Agnes R. Benito 91-02126 , Inc. Jtortin Sloane dalmant, Agnes R. Benito ("Benito"): 550 as. For Rsspcndsnt, PalucWettoer, me. ("P.M.") and Itortin Sloans ("Sloane") Stewn K. Hi ftf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Calise, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) and Merrill Lynch, Pierce, Fenner & Smith (Claimant) vs. Joseph Calise and Salomon Smith Barney, Inc. (Respondents) Case Number: 01-00784 (Consolidated w/01-00846) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Calise, hereinafter referred to as "Claimant" o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00650 American Fronteer Financial Corporation f/k/a RAF Financial corporation, Claimant vs. Kevin Dudley, Respondent. ATTORNEYS: For Claimant, American Fronteer Financial Corporation, ("Claimant"), appeared Thomas D. Birge, Esq., and Carla B. Minckley, Esq. of the firm Birge & Minckley, P.C., Denver, CO. Respondent, Kevin Dudley, ("Respondent"), did not respond to the Statement of Clai

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Logan, (Claimant) vs. Lehman Brothers, Inc., Paul Puskuldjian, and Keith Geismar (Respondents) Case Number: 00-00011 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Helen Logan, hereinafter referred to as "Claimant**: Gerald Jay Resnick, Esq., Deutsch, Resnick, Green & Gramigna, Springfield, NJ. Respondents, Lehman Brothers, Inc. ("Lehman"), Paul

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Henry & Jeanne Maier Claimants vs. PaineWebber, Inc Lyle E. Moss Loren Lucas Respondents CASE #91-02118 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 10, 1991, Claimants, Henry & Jeanne Maier, who appeared Pro Se, alleged that on August 27, 1990 Respondent Loren Lucas, an

N.A.S.D. AWARD NMICNRL ASSOCIATION OF SECURITIES DE3UJ3RS In the Matter of the Arbitration Between of First National Bank of Farmington, New Mexico, a Nationally Chartered Bank 91-01972 Name_o£_ResTxaidenta Mortgage Government Securities, Inc., a Texas corporation; M. G.S.I, Securities, Inc. , a Texas corporation; Stan E. Golub For daimant: First National Bank of Fannington, New Mexico was represented by G. Ttonas Fleming, III, Esq. of J

Arbitration N.A.S.D. M35IF.LEU AWARD « ASSOCIATION OF SECORITTES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) James F. MrKeon 91-01970 Name of Respondent (s) Stephen Dunn Robert A. Veideraan National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Claimant James F. McKeon appeared pro se. Respondents Stephen Dunn anr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy Goodstein and 91-01969 Name of Respondents Prudential Securities, Inc.~ *° William Bradley REPRESENTATION OF PARTIES Claimant was represented by Jeffrey M. Brenman, Esq. of Brenman, Raskin, Friedlob & Tenenbaum, Denver, Colorado. Respondents were represented by Lisa S. Kahn, Esq. of Davis, Graham & Stubbs, Denve