'C i ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03608 AWARD In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Clint Campbell Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15, 1991, Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc. by and through their outside counsel, Gregory A, Pierce, Esq., o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Dupre 91-03606 Name of Respondent Collins J. Roussel CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15, 1991, Claimant Harold Dupre, who appeared pro se, alleged that Respondent Collins J. Roussel, formally with Blinder Robinson & Co. Inc. failed to follow his instruct

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Namp of Claimant (s) ) =sa==B=B=a=== ^ ) Etana and Gary DeSarro ) ) ) da* No. 91-03588 ) Name of Invest Financial Corp. For Claimants, anna and Gary DeSarro ("DeSarro") : pro se. For Respondent, Invest Financial Corporation ("Invest"): Eugene B. Harper, Esq. of Invest. OMSB Statement of Halm filed: November 14, 1991.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ^ PUBLIC. Dmitry Vernik Claimant CASK #91-03585 vs. AWARD Bear Stearns & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1991, Claimant, Dmitry VernikT who appeared Pro Se, alleged that Respondent, Bear Stearns & Co., Inc., through it's broker, Jack Belikoff, used high

N.A.S.D. AHAKD ASSOCIATION OF SECURITIES TTOTBRS the Matter of the Arbitration Between „,. 0 -, JUL o U Of ^^a^1Ta^fft Anthony J. DiStefaryp 91-03579 Q£ First National Brokerage Services Inc. Jtoeritrade, Inc. dainant: Bruce H. Brodtey, Esq. of Qnaha, Neteastai. FOOT Rjespoodents: Patrick B. Griffin^ Esq. of KutaJc Rode & rfrnrhen, doaha, Ntibrasica* Statauent of n»Hm filed on or about: August 22, 1991. Amended Statan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03575 AWARD In the Matter of the Arbitration Between PaineWebber Incorporated Claimant vs. Stereo Connection Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers , Inc. on November 13, 1991, Claimant, PaineWebber Incorporated by and through their in-house counsel, Garry J. Stegeland, Esq., alleged that on or about May 30, 1990, Responden

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Joan Martin Claimant and 00^05270 Dallas, Texas Merrill Lynch, Pierce, Fcnner & Smith, Inc. and Nicholas Papamichael Respondents REPRESENTATION OF PARTIES Joan Martin ("Claimant") was represented by Richard C. Fooshee, Esq., Law offices of Richard Foshee, New York, New York. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Nicholas Papamichael ("Respondents")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harpel Advisory Company, Inc., (Claimant) vs. Salomon Grey Financial Corp. and Emmett A. Larkin Co., Inc., (Respondents) Case Number: 00-00535 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Harpel Advisory Company, Inc., hereinafter referred to as "Claimant": Brooks R. Burdette, Esq., Schulte Roth & Zabel LLP, New York, NY. Respondent, Salomon Grey Fi

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03574 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Eric Schneider Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 13, 1991, Claimant PaineWebber, Inc. through its in-house counsel, Garry J. Stegeland, Esq., alleged that Respondent Eric Schneider, a customer of the Claiman

Arbitration N.A.S.::. AWARD JATICNAL ASSOCIATION CF SECURITIES DEALERS In the Matter of "he Arbitration Between Name of Claimant Winifred Kaverstick National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 CASE #91-03566 Name cr Respondent Shearson -ehman Brothers, Inc. REPRESENTATION For Claimant Winifred Haverstick: Vicki Kuftic Home, Esq. of