N.A.S.D. AHAKD NKTKWRL ASSOCianCN OF SECURITIES DEfttERS : I V \ \*\ M n\/ ? n - In the Matter of the Arbitration Between t \ \\\ W - '; \\\\\ i u wj _^_., ••— NCRMAN O. MEYERS — \ AR^'-THAT'/ Claimant _.— -——-—••• and NASD NO. 90-02737 ROERN MOSIE, INC. MICHAEL KAVANAGH Respondents OF Claimant Noiman Meyers was represented by Martin Fletcher, Esq. of Rothberg, Gallmeyer, Fruechtenicht and Loga

N.A.S.D. AWA5P NATIONAL ASSOCIflUCN OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name < pf Clainantfs* Dorothy, Kathryn & Gary Bussing 90-02732 Name of Reaoondpytt" (^ \ PaineWebber incorporated Kent Kelley Claimants Dorothy J. Bussing, Kathryn Bussing and Gary Bussing v«re represented by James M. Ziegler, Esq. and Scott A. Britton-Mehlisch, Esq. of Hunphrey, Farrington & McClain f P.C., Independence p Misso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90-02730 AWARD In the Matter of the Arbitration Between Alberto Rotsztain Claimant vs . Ferris, Baker Watts, Inc. Victor Seested Respondent CASE SUMMARY Alberto Rotsztain represented by Ronald E. Lyons, Esq. of Hoffman, Apfel & Lyons, P.C. r Rockville, Maryland, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mark L. Bradbury Claimant Case 490-02725 vs. PaineWebber, Inc. and James Heitzer Respondents AWARD CASE SUMMARY Mark L. Bradbury, in a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1990, alleged that Respondent James Heitzer, while employed at PaineWebber, Inc., engaged in an unauthorized sale of two-thousan

NATIONAL ASSOCIATION Or SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Nabinger "; "•"." •r^-.T-^Jcii First Fidelity Capital Corporation John Piscopo Randall Gudme Respondents CASE SUMMARY Pro Se Claimant, Richard Nabinger, in a claim filed with the National Association of Securities Dealers, Inc. on October 1 , 1990, alleged that Respondent John Fiscopo while an agent at First Fidelity Capital Corporation New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAl£RS In the Matter of the Arbitration Between Name of Claimant^ s) Burke, Christensen & Lewis Securities, Inc. Name of Respondent^ s^ Thomas William Stevenson j V '< -';• \ 90-02720 For Claimant: Burke, Christensen and Iswis Securities, Inc. '^as represented by James J. Moylan, Esq. of James J. Moylan & Associates, Ltd., Chicago, Illinois. For Respondent: Thotas William Stevenso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mollie Berg Claimant AWARD vs. Olympic Securities Respondent Case #90-02718 Prudence W. Baldwin Public Arbitrator CASE SUMMARY Mollie Berg, in a claim filed with the National Association of Securities Dealers, inc. on October 10, 1990, alleged that Jeffrey R. Snider, an Assistant Vice President of Olympic Securities, neglected to inform her

Arbitration National Association of Securities Dealer*, Inc. ______ _ __ ~ NASD Financial Center NATICMAL ASSOQAL'JXll OP SULUH1T1ES DEALERS 33 Whitehall Street _ _ _ _ _ New York, N.Y. 10004 la the Matter of the Arbitration Between FAX (21 2) 858-4389 Name of Floyd and Mary Vaugban 90-02716 Nttme of FaineWebber, IDC. A.J. Paulika For Claimants Floyd *™j Mary Vaughan ("Claimants 11 ): David H. Foster, a sole practitioner.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John V. Cioffi and William J. Burke, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 01-00692 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John V. Cioffi ("Cioffi") and William J. Burke ("Burke"), hereinafter collectively referred to as "Claimants": Anthony Paduano, Esq., Paduano & Weintraub LLP, New York, NY. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lea Smith Johnson and Glenn Johnson, JT/WROS Claimants vs. Karl Tarbox Respondents CASE #90-02713 AWARD CASE SUMMARY Lea Smith Johnson and Glenn Johnson, in a claim filed with the National Association of Securities Dealers, Inc. on October 1, 133G-, aliened thai. Respondent,- Karl Tarbox, an agent at the Miami office of Blinder. Pobi n*on *