N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between ) Name of John E. and Helen S. Croken Name nf Hcmnnnriant-. f a j Dean Witter Reynolds, Inc. Stephen T. Slattery Case No. 90-02761 Heard before the members of the Arbitration Panel: Myron Cunay, Esq. Thomas £. Swenson Robert H. Hagan Public Public Industry Claimants, John E. and Helen S. Croken ("Crokens"), were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary Jane Andersen & Jeanine M. Andersen 90-02760 Name of Respondents Barry Bernstein Uche Akwuba Brennan Ross Securities, Inc. Princeton Financial Group Madison Chapin Associates, Inc. REPRESENTATION For Claimants ("Claimants") : Joseph E. Corrado, a sole practitioner. For Respondent Barry Bernstein {"Bernstei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; • r Lucia Vassallo ' Claimant ? • vs ; CASE! 90-02756 AWARD Kober Financial Corporation and > Gregory Meredith ' r Respondents r Pro Se Claimant, Lucia Vassallo, in a claim filed with the National Association of Securities^ Dealers f Inc. on December -10, 1990, alleged that she was deceived by a member of Kober Financia

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Helen Reinbolt Name of Respondent's \ Richard Balleau Olde Discount Corporation 90-02755 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimant, Helen Reinbolt appeared pro se. For Respondent, Richard Balleau and Olde Discount Corporati

NATIONAL ASSOCIATION OF SECURITIES DEALERS/ INC. In the Matter of the Arbitration Between Agnes M. Flower Claimant vs . Smith Barney, Harris, Upham and Company, Inc. and Gregory F. Collins Respondents Case #90-02754 Award CASE SUMMARY Agnes M. Flower, Pro Se Claimant.- in a claim filed with the National Association of Securities Dealers; Inc. on October 3, 1990, alleged that her broker at Smith Barney, Harris," Upham and Comp

N.A.S.D. AWARD NATICHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mane nf f1;*im«n1-f ql 90-02748 Chris Lynn Elder Heard before: Name Public/Industry Cornelius J. McAiiliffe, Esq. Public Arbitrator Tnis claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers,. Inc. ("NASD") on April 6, 1990. Claimant. Edgar Maujsou alleged that he wanted only high yield mmlfripn]

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02746 AWARD In the Matter of the Arbitration Between Stephen R. Scholle Claimant vs. Edward R. Yaman Respondent CASE SUMMARY Claimant, Stephen R. Scholle, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged that Respondent, Edward R. Yaman, pro se, misrepresented an investment in shares of Meridian National Corpora

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between of C.1 ar MDrton Michelson Mama nf G.K. Scott & Co. Inc. ) Case No. 90-02743 Heard before the Arbitrator: Patricia A. Snub, Esq. Public Uiis claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on September 27, 1990. Claimant, Morton Michelson ("Michelson"), alleged

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond Martin, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 01-00695 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Raymond Martin, hereinafter referred to as "Claimant", appeared pro se. Respondent, Quick & Reilly, Inc., hereinafter referred to as "Respondent": Samantha E. Kefford, Esq., Quick & ReiJly, Inc., New York, NY. CASE INF

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J. and Neva J. Myers Claimants vs. Dean Witter Reynolds, Inc. Respondent Case #90-02740 AWARD CASE SUMMARY Robert J. and Neva J. Myers, Pro Se, -in a claim filed with the National Association of Securities Dealers r Inc. on October 2, 1990, alleged that Respondent, Dean Witter Reynolds, Inc., through its employees and/or represent