N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PUBLIC Richard J. Seraphin 91-03633 f P^aondents Mid-State Securities Corp John Bendokas Randolph L. Messina Nicholas A. Codispoti For Claimant Richard J. Seraphin: Mitchell Cobert, Esq. of the Law Office of Mitchell Cobert. For Respondents Mid- State Securities Corp. , John Bendokas, Randolph L. Messina and Nicholas A. Codispoti: G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the'Matter of the Arbitration Between Name of Claimants Donna Censoni Janet Censoni CASE #91-03631 Name of Respondents Merrill Lynch, Pierce, Fenner '& Smith Scott Uffelman REPRESENTATION For Claimants Donna Censoni and Janet Censoni: Joann M. Carlson, Esq. of the Law Office of Joann Carlson. For Respondents Merrill Lynch, Pierce, Fenner & Smich and Scott Uffelman: Todd

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SBCDR1TTES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between FA)?< 21 21* ^58-4389* Of Robert 0. Ealch CASE NO. vs. 91-03627 o f Dean Witter Reynolds Inc. Shearson T^Vwnan Brothers, Inc. Michael A. Ewanouski For Claimant, Rctoert 0. Balch, Tfcanas H. Tucker, Esq. from the law firm of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03626 AWARD In the Matter of the Arbitration Between Robert A. Cergol Claimant vs. Smith Barney, Harris Upham & Co., Inc. James Pomfret Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 19, 1991, Claimant Robert A. Cergol who appeared Pro Se r alleged that in May 1987 he established an IRA account and tr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Pearl S. Lawrence & Johnny W. Williamson CASE #91-03623 Consolidated with Name of Respondents The Robinson Humphrey Co. R. A. McCord, III R, P. Sheridan, Jr. REPRESENTATION For Claimants Pearl S. Lawrence & Johnny W. Williamson: Edward W. Killorin, Esq. and Clifford Altekruse, Esq. of Killorin & Killorin and Charle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Pearl S. Lawrence & Johnny W. Williamson Consolidated with #91-03624 Name of Respondents The Robinson Humphrey Co. R. A. McCord, III R. P. Sheridan, Jr. REPRESENTATION For Claimants Pearl S. Lawrence & Johnny W. Williamson: Edward W. Killorin, Esq. and Clifford Altefcruse, Esq. of Killorin & Killorin and Charles Ha

N.A.S.D. AMAKD Arbitration __ __g) ____ ___ - National Association of NATICNAL ASSOCIATION OF SECORITIES DEALERS Securities DMtore, Inc. _ _ . One East Broward Boulevard In the Matter of the Arbitration Between Suite 1000 Ft. LauderdaJe, Florida 33301 n^— .-a» 005) 522-7391 White House, Inc. et al. 91-03619 Name of P* ua T v " gv fcnt(s) PaineWebber, inc. William Kane Timothy J. Terry For Claimant, Ihe White H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stanley Blacker 91-03618 Name of Respondent John Fasano REPRESENTATION For Claimant, Stanley Blacker ("Blacker"): pro se. For Respondent, John Fasano ("Fasano"): Herbert M. Jacobi, Esq. CASE INFORMATION Statement of Claim filed on January 7, 1992. Claimant's Submission Agreement signed on November 12, 1991. Statemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William F. Dane Claimant vs. Edward D. Jones & Co, William Clement Respondents CASE #91-03611 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15, 1991, Claimant, William F. Dane, who appeared Pro Se, alleged that on May 29, 1991 Respondent William Clement, a registered representative

AWARD-NASD In the Matter of the Arbitration Between: Claimant William M. Persons v. Respondent Morgan Stanley Dean Witter and Randall Chinn Case Number: 00-05272 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant William M. Persons hereinafter referred to as "Claimant," was represented by Frank V. Ghiselli, Esq., located in Houston, Texas. Respondents Morgan Stanley Dean Witter ("Morgan Stanley") and Randall Chinn ("Mr. Chinn") here