NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pearl Slate Claimant vs. Robert Collier and Prudential-Securities, Inc. Respondents Case #90-03032 AWARD CASE SUMMARY Pearl Slate, Pro Se, in a claim filed with the National Association of Securities Dealers, fnc. on October 29 9 1990, alleged that Robert Collier, her broker at Prudential-DMhn > Securities, Inc., now known as Prudential

NATIONAL ASSOCIATION OF~SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton Tone Claimant vs. AWARD First Union Brokerage Services, Inc. Alan Levin Respondents CASE #90-03030 CASE SUMMARY Pro Se Claimant Milton Tone, in a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1990, alleged that Respondents charged him an excessive commission for the purchase of a Texas Utilities

N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Benjamin Claimant 90-03029 Prudential Securities Inc. Respondent For Claimant: Steven J, Mitchel, Esq. of Gold & Mitchel, P.A. For Respondent: Kevin Hurley, Esq., in house counsel at Prudential Securities, Inc. CASE THPGRMKTTCH Claiinant executed a submission agreement on February 5, 1991 and filed a Statement of Claim on Octob

N.A.S.ar AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betsreen DARBY SUITER Claimant and JOE FOE AND BEAR STEARNS & CO. , INC. U 90-03027 AR'- -TRATION -CHICAGO Respondents PMWTBB Claimant Darby Suiter was represented by William Boyd , Esq . of Patterson, Boyd, Lowery, & Aderholt, Houston, Texas. Respondents Joe Poe and Bear Stearns & Co. r Inc. were represented by Cheryl Jerome, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-OQO22 AWARD- In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Scott H. and Robin C. Domnie Respondents CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney Dominick J. Dorata, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1990, alleged that Respondents Scott H. and Robin C. Domnie have

Arbitration N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Mary Ellen Burke »riH Paul V. Burke, Individually and as Executeir of the Estates of Eleanor H. & Ecfr«rd P. Burke 90-03021 Nsme of Merrill Lynch Pierce Fenner & Smith Inc Robert W. Smith National Association of Securities Dealer*. Inc. NASD Financial Center FAX (2 12) 858-4389 • Claimants: Robert Lane, Esq. of Hodgson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merit Capital Associates, Inc., (Claimant) vs. Jonathan R. Lake, (Respondent) Case Number: 01-00706 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Merit Capital Associates, Inc., hereinafter referred to as "Claimant": Robert Fitzpatrick, Esq., General Counsel, Merit Capital Associates, Westport, CT. Respondent, Jonathan R. Lake, hereinafter referred to as

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between Susan Lilley Hoyer Claimant vs. Edward D. Jones and Company, Inc. Respondent Case J90-Q3018 AWARD CASE SUMMARY Susan Liiley Hoyer, in a claim filed with the National Association of Securities Dealers, -Inc. on October 26, 1990, alleged that Respondent Edward D. Jones and Company misrepresented the true quality and safety of United Banke

Arbitration -- W.A.S.U. ^WAKLJ National Association ot Securities Dealers* Inc. NRTICNAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitenal! Street In the Matter of the Arbitration Between N ® w fork. New York 10004 of Christine A. Neuman & J. Dellafiora 90-03014 Name of Respondent (a) Carona & Hbdges Securities, Inc. Carona & Hbdges Jfanagement Inc. James G. Carona William J. Hodges For Claimants

- NATIONAL ASSOCIATION OF' SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jabe M. Pratt Kathlyn Y. Pratt Claimants vs, Prudential Securities, Inc. James D. Gaberino Respondents CASE f90-Q3009 AWARD CASE SUMMARY Pro Se Claimants Jabe M. and Kathlyn Y. Pratt , in a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1990, alleged that Respondents Prudential-Bache Securities, I