••-—rryv 1 ? • J. i v :". ' "~71 •"* N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of m | ^ION-CHICAGO Frederick W. & Virginia R. Braastad Name of Respondentfsl Financial Synergies Equities , Inc. DeRand Pennington Bass f Inc. Amir H. Ahanchion, Ph.D Financial Synergies, Inc. 90-01310 RKPHKKKMIWFIQN OF Claimants Frederick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jean R. Tison,Jean R. Tison, Trustee CASE #90-01304 Name of Respondent^ A.G. Edwards & Sons, Inc. Heard before the members of the Arbitration Panel: Brian G. Maoney, Esq. Public Marshall J. Seidman, Esq. Public Stephen P. Savitt Industry This matter was initiated by a Statement of Claim filed with the National Associ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Evelyn Myrl & Gerald Jay Blount Claimant{s) vs . 90-01303 Century Financial Securities, Inc. and Scott Sengleman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant^ s) Evelyn Myrl & Gerald Jay Blount alleged that Respondent(s) Century Financial Securities, Inc. and Scott Sengleman accepted Claimants' funds by check, failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC- In the Matter of the Arbitration Between ) ) Wedbush Morgan Securities, Inc. ) Claimant & ) Counter-Respondent ) AWARD vs . ) ) NASD #90-01300 Edward Mars ) Tanunie MArs ) Respondents & ) Counter-Claimants ) REPRESENTATION Claimant Wedbush Morgan Securities was represented by Terry Ross, Esq. of Keesal, Young & Logan, Long Beach, California. Respondents Edward and Tammie Ma

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street ASSOCIMEICN OF SECURITIES DERLH*S New Yorkt New York 10004 In the ifetter of the Arbitration Between of Kathy Sue Sozkin Case # 90-01297 JHHRD Shearson lehman Mutton, Inc. Rowen Negrin Claimant, Kathy Sue Sorkin, alleges that she advised Rouen Negrin, a Financial Consultant with Shearson Lehman Bitten, Inc

N.A.S.D. AWARD NATICNAL ASSOCEATICN OF SECURITIES in the Matter of the Arbitration Between ) Name of Claimant (s) ) ~=__=^. } Bradley D. Brown ) ) ) Case No. 90-01296 ) Kama of pftflfynHflnt (a) ) Dcninicfc & Dcndnick Incorporated } Rayncod Mailtot ) Star Pmnrnrvlnnt'. Raymond Maill»t ("Mailhot") x Ttanas Grady, Bsq. of the Law Offices of Tbomas R. Grady. FOOT Kaspcndsnt, DonlnicJc & Donlnicfc, Inc. ("Dcndnick") x Richard

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between CRC QUAIL RUN PARTNERSHIP Claimant and NASD No. 90-01295 BEAR STEARNS & CO., INC. Respondent PARTIES REPRESENTATION Claimant was represented by Arthur E. Rosenson, Esq. of Much, Shelist, Freed, Dennenberg, Ament & Eiger, P.C., Chicago, Illinois. Respondent was represented by Nicholas P. lavarone, Esq., of Bellows & Bellows Chicago, Illinois. CASE SU

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Colgin & Knueppel Enterprises Partnership 90-01294 Name of Shearson Lehman Hut ton r Inc. and Joe Kelly In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Ifey 7, 1990 Colgin & Knueppel Enterprises Partnership ("Claimant") alleged that Joe Kelly ("Kelly") a registered representat

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott Quinto, (Claimant) vs. Montrose Capital Management, Ltd., Robert Winston, and John Telfer, (Respondents) Case Number: 01-00659 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Scott Quinto, hereinafter referred to as "Claimant": David Crystal, II, Esq., Gilbride, Tusa, Last & Spellane LLC, New York, NY. Respondent, Montrose Capital Mana

N.A.S«D. AWftRD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dale R. & Kathryn A. Claiioants 90-01292 and Dean witter Reynolds, Inc. fti Mimm Shaun J. Wildt For Claimants! Fro Se. For Htopondents: Paul DuBcw, Esq. of Ooan Witter Reynolds, inc., San Ftansiaoo, CA. ram .— _ - Statonant of Claim filed: May l r 1990 Claimant's SubRdseion Agroonent signed on: Hay 18, 1990 Statement of Answ