NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00479 AWARD In the Matter of the Arbitration Between Antimo and Annamarie Cancelliere Claimants vs. R.H. Damon & Co., IncT Respondent CASE SUMMARY Pro Se Claimants Antimo and Annamarie Cancelliere, in a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, alleged that their broker at R.H. Damon & Co., Inc. Hugo Perotti executed an unautho

Arbitration N.A.S.D. AWARD NATIOtffiL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Consolidated Arbitration Betaroon Carol S. Hooker Weedy Becker Carolyn Z. Cunneen of Consolidated Gases 9$-fl&*€^ 91-0472 and 91-00473 Merrill Lynch Pierce Fenner & 3nith Inc Michael, P. Rooney, Jr. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Clairnant/CounterRespondent Case Number: 01-00720 Gruntal & Company, LLC Respondent/CounterClaimant Hearing Site: Chicago, Dlinois William D. Cantrell, Jr. REPRESENTATION OF PARTIES Claimant/CounterRespondent, Gruntal & Company, LLC ("Gruntal"): Timothy J. Carey, Esq. of the firm Lovells located in Chicago, Illinois. Respondent/CounterClaimant, William D. Cantrell, Jr.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00468 AHARDT In the Matter of the Arbitration Between James H. McKenna f Jr. Claimant vs. Bank South Personal Brokerage Services Respondent CASE SUMMARY Pro Se Claimant James H. McKenna, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that due to misrepresentation by his broker at Bank South's Brokerage Serv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Francis Kogen p Trustee of MBK Profit Sharing Plan Claimant vs. Bruce Bielfield Merrill Lynch, Pierce p Fenner and Smith, Inc. Respondents Case #91-00467 AWARD CASE SUMMARY Pro Se Claimant, Frances Kogen as Trustee, in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the Matter of Arbitration Between Viola Curcio, Tony J. Curcio, P.O.A. Claimant vs. A.G. Edwards & Sons, Inc. Richard Laliker and Mike McCuiston Respondents CASE #91-00466 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, Claimant, Viola Curcio by and through Tony J. Curcio, Power of Attorney alleged that Responden

NATIONAL ASSOCIATION OF 'SECURITIES DEALERS, INC, CASE f91-00464 AWARD In the Matter of the Arbitration Between Allen St. Lawrence Claimant vs . Scott Nennig Respondent CASE SUMMARY Allen St. Lawrence, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that Respondent Scott Nennig, while a broker with Thomson McKinnon Securities, Inc. executed two unauthorized trades i

N.A.S.D. AMBCGD AWARD NKTKHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between > ) Mane of William H. Fergus ) ) ) Case Nb. 91-00463 ) Name of BffspciMtent (s) ) PaineWetber, Inc. ) Dreooel Buxnbam lanfcert, Inc. ) John Asbby ) FOOT Claimant, William H. Fergus, as Trustee en behalf of the William H. Fergus, M.D., P.A. Defined Benefit Pension Plan ("DBP") and the William H. Fergus, M.D., P.A. Target P

:;.A.S.D. AWARD :IATIONAL ASSOCIATION OF SECJRITI2S DEALERS In ~ne Matter of the Arc itr anon Between Name of Raymond G. & Mabel Chanaier ? 1-0046 1 :iams of Respondent I s I Dean Witter Reynolds, Inc. Ton Burke Public/Chairperson Public Claimants were represented by H Thomas Fehn, Esq. Respondents were represented by Wendy R. Robinson, Esq. This natter was initiated by a Statement of Claim filed with the National Association of

Arbitration N.A.S.D. AWARD NATIOtffiL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Consolidated Arbitration Betaroon Carol S. Hooker Weedy Becker Carolyn Z. Cunneen of Consolidated Gases 9$-fl&*€^ 91-0472 and 91-00473 Merrill Lynch Pierce Fenner & 3nith Inc Michael, P. Rooney, Jr. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858