N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward and Harriet Greenebaum 95-04099 Name of Respondents Bear Stearns & Company MFI Investments Corp. Henry I. Judy, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1995, Claimants Edward and Harriet Greenebaum, who appeared Pro Se, alleged that Respondents Bear S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betsy Moody 95-04097 Name of Respondent Charles Schwab & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1995, Claimant Betsy Moody ("Claimant"), who appeared Pro Se, alleged that Respondent Charles Schwah^S: iCo^^Ine. cu ("Respondent"), wrongly placed a purchase o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John M. Harvanek, III 95-04096 Name of Respondents Daniel C. Montano Montano Securities Corporation Alexander G. Montano Ramesh D. Chillar CASE SUMMARY In a claim filed With the National Association of Securities Dealers, Inc. on August 25, 1995 Claimant: John M. Harvanek III ("Claimant"), who appeared Pro Se, alleged t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glenda J. Belz, Donald E. Helms, Robert L. Nelson, Pauline Esslinger and Waymer Esslinger, Vivian Johnson and Robert Johnson, and Doris B. Burton, Claimants, and No. 95-04093 Dickinson & Co., Respondent, REPRESENTATION OF PARTIES Claimants Glenda J. Belz, Donald E. Helms, Robert L. Nelson, Pauline Esslinger and Waymer Esslingerj Vivian Johns

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel V. Griffin and 95-04091 Name of Respondent Presidential Brokerage, Inc. Neal Walls Daniel G. Lempe REPRESENTATION OF PARTIES Daniel V. Griffin ("Claimant") was represented by Noel Guardi, Esq., Denver, Colorado. Presidential Brokerage, Inc. ("Respondent Presidential") Neal Walls ("Respondent Walls") and Daniel G.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Charles Schwab & Company, Inc. 95-04088 Name of Respondent/Counter-Claimant Frederick M. Kalita REPRESENTATION For Clamant/Counter-Respondent: Charles Schwab & Co., Inc. ("Schwab") was represented by Jill Thompson Calian, Esq. of Sonnenschein Nath & Rosenthal, located in Chicago, ttlinois, For Respondent/Coun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-04085 Name of Respondent & National Asscc^nor, Franklin Kepler All Rights REPRESENTATION Claimant PaineWebber, Inc. ("Claimant") was represented at the hearing by Thomas M. Mierswa, Jr., Esq. of PaineWebber, Inc. Respondent Franklin Kepler ("Respondent") was represented at the hearing by Herbert R. Rube

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold A. and Meryl Robinson, JTWROS 95-04075 Name of Respondents Straiton Oakmont, Inc. Stacey Ann Yonkus lira claim filed with the National Association of Securities Dealers, Inc. on August 16/l995;;0aiiEra]ts t Harold A. and Meryl Robinson, JTWROS, who appeared Pro Se, alleged that they agreed tojpiitchase.i and to sell Uni

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05323 H. Joseph Chou, Claimant vs. Morgan Stanley Dean Witter and Mark Bergman, Respondents. ATTORNEYS: For Claimant, H. Joseph Chou, ("Claimant") appeared Edward W. Russey, III, Esq. of the firm Oswald & Yap, Irvine, CA . Respondents Morgan Stanley Dean Witter and Mark Bergmann, (collectively "Respondents"), appeared through Douglas F. Stone, Esq., in-house counsel for Dean Witter Rey

03/10/98 TUE 12:14 FAX NASD REGULATION i]003 AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Rafael Healy and Patricio Healy, Claimants, and No- 95-04073 D.E. Frey & Company, Incorporated, Peter Sperling, and Kenneth Sperling, Respondents. REPRESENTATION OF PARTIES Claimants, Rafael and Patricio Healy, were represented by Stuart J. Dow, Esquire and Franci Crane, Esquire of Susman Godfrey