Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNAL ASSOCIATION OP SB"*mi'["ra DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 III the Matter of the Arbitration Between Name of Claimant James F. Butterworth 91-03520 Name of Respondent Fidelity Brokerage Services, Inc. Claimant James F. Buttezworth appeared pro se. For Respondent Fidelity Brokerage Servic

Arbitration N.A.S.D. AWARD ASSQCIATICN OF hajJkiTlhS DEALERS In t±ie Matter of the Arbitration Between Name Of Lindsay H. Welling, Jr. vs. of Robert V. Ballard National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-03518 Lindsay H. Welling, Jr. ("Claimant 1 *) represented himself. For Respondent, Cowen & Co., Inc. ("Cowen

N.A.S.D. AWARD f gCT?flfl nr?rr SEP 13 1993 — Vy^U U L3l NATIONAL ASSOCIATION OF SECURITIES DEALER In the Matter of the Arbitration Between Name of Claimant(s) Milton & Elaine Rubin Case No. 91-03515 Name of Resoondent(s) Prudential-Bache Securities Inc. Donald Lockshin REPRESENTATION For Claimants, Milton and Elaine Rubin ("the Rubins"): Keith T. Gnimer, Esq. of Keith Mack Lewis. For Respondents, Prudential Securitie

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #91-03513 AWARD In Che Matter of the Arbitration Between Sol Herman Trust, Sol Herman as Trustee Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1991, Claimant, Sol Herman as Trustee, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc.'s registered repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ephraim & Rose W. Ross 9L-03511 Name of Respondent s) Merrill Lynch Pierce Fenner & Smith Inc Sidney Koean REPRESENTATION For Claimants: Joseph Spiegal, Esq. sole practioner. For Respondents: Clarence Pozza, Esq. of Miller. Canfield. Paddock & Stone. CASE INFORMATION Statement of Claim filed: October 21. 1991. Cla

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-03509 AKABD In the Matter of the Arbitration Between Lucille L. Thorndal Claimant vs. Dean Witter Reynolds, Inc. Alvin Dietz Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6, 1991, Claimant, Lucille L. Thorndal, by and through her personal representative, William E. Thorndal, alleged that on April

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Matthew Flynn and 00-05268 Detroit, Michigan Gregory J. Schwartz & Co., Inc. Gregory J. Schwartz Judith M. Schwartz Walter G. Schwartz, Gregory J. Schwartz, Jr., Edward A. Schwartz, and Joseph E. Schwartz REPRESENTATION OF PARTIES Matthew Flynn ("Claimant") was pro se. Gregory J. Schwartz & Co., Inc., Gregory J. Schwartz , Judith M. Schwar

N.A.S.D. AHRHD QF m** imi'i'i U!U DEAIJ3RS In the Matter of tha Arbitratinn Between Betty, Marc and Nancy Field, Jttea 91-03505 of Respondent (a) M.L. Stem & Ooipany, Inc. David Bender For Claimant: Betty Field, In Pro Per For Respondent: Michael TM+^Mm, Esq. - Mlndlin f Tigennan & Bbltzzosn Statement of Ha-ha filed: Ifavorber 6, 1991 Claimant's Sucmissica, AgrecEoaat fflgnfffl cat Ont^i'T^r 24, 1991 Joint Statsnent o£ AnsMer fil

N.A.S.D. AWftKD a> N&TICNAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Of National Association of Securities Deafen, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Mark O'Ifelley of 91-03490 Otra Securities Group Inc. David Phillips For Claimant Mark O'ltolley ( "Claimant 11 ) : ha appeared pro se. For Respondents Otra Securities Group Inc.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03488 AWARD In the Matter of the Arbitration Between Edith Meisela Claimant vs. Moore & Schley n.Jc.a The QMS Group, Inc. Marc Strasser Respondents CASE SUMMARY In a claim filed with the National 1 Association of Securities Dealers, Inc. on November 5, 1991, Claimant, Edith Meisels who appeared Pro Se, alleged that on October 10 r 1987 Respondent, Ma