N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank Regini Name of Respondents Daniel X. Dunphy Lew Lieberbaum & Co., Inc. John J. Fasano, Jr. 93-00094 REPRESENTATION For Claimant, Frank Regini: Mr. Regini appeared at the hearing pro-se. For Respondent, Lew Lieberbaum & Co., Inc.: Jay Marc Israel, Esq. of Lew Lieberbaum & Co. For Respondents, Daniel X. Dunphy a

N A.S D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter en the A munition Between Name or Claimant Henry Simoni vs. Case£: 93-00093 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION Claimant Henry Simoni appeared pro se. For Respondent Dean Witter Reynolds Inc.: Thomas J. Hennessey, Esq. from the law firm of Bingham. Dana & Gould. CASE INFORMATION Statement of Claim filed: January 8. 1993. Claimant's Subm

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Caryl Shapiro Name of Respondents PaineWebber, Inc. Th-State Capital Markets Group, a/k/a Jersey Capital Market Group 93-00092 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1993, Claimant Caryl Shapiro, who appeared Pro Se, alleged that on Match 18, 1988 he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between n Claimants Rernaxd Wieraik, Veta Wternik, Trustees vs. NASD #93-00087 nf Oppenheiiner & Company, Inc., William Odenthai For Claimants: David Dotsoa, Esq., Law Offices of David Dotsoo, of San Diego, California, For Respondents: Eugene Small, Esq., OppenMcmer & Company, of New York, New York CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald and Laura Tyree 93-00083 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimants: Donald and Laura Tyree were represented by Steven J. Gard, Esq. and Sandra L. Goddard, Esq. of Page & Bacek, located in Atlanta, Georgia. For Respondent: Prudential Securities Incorporated was represented by Davi

PUBLIC N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Suzette LJttle-Kofod 93-00082 Name of ResDondent Gene Valentino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1993, Claimant Suzette Littte-Kofod, who appeared Pro Se, alleged that Respondent Gene Valentino, while employed by the Respondent firm Merrill Lynch, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Terrence and Joanne Melius and 93-00080 Name of Respondents Shearson Lehman Brothers, Inc. Stuart Oppenheimer REPRESENTATION OF PARTIES Terrence Melius ("Claimant") appeared pro se. Shearson Lehman Brothers, Inc. and Stuart Oppenheimer ("Respondents") were represented by Michael R. Wherry. Esq. of Davis & Kuelthau. S.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. TNC. In the matter of die Arbitration Between Name of C!laimantfjA Bruce W. Stilson, As Trustee Of The Elise D. Marshall Trust A, And As Trustee Of The Elise D. Marshall Trust B, And Robert D. Marshall, Jr. NASD Arbitration vs. #93-00067 Name of Respondent^) Prudential Securities, Inc. David Dunn REPRESENTATION For Claimants: Thomas J. LoSavio, Esq., Low, Ball & L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joyce A. Goodman Name of Respondents Chelsea Street Securities John E. Irvine, Jr. 93-00064 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 7, 1993, Claimant Joyce A. Goodman, who appeared Pro Se, alleged that she is a 62 year old unemployed woman and on February 2. 1992 sh

N.A.S.D. AV/ARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Martha Blair 93-00062 Name of Respondents Kemper Securities, Inc.: Suzanne I. Burleson; Arneson, Kercheville, Ehrenberg & Associates REPRESENTATION For Claimants: Richard Blair and Martha Blair ("Blair") were represented by Bruce Bigelow, Esq. of Blazier, Rutland & Lerner, P.C., located in Austin, Texas. F