NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02444 AWARD In the Matter of the Arbitration Between Terry L. Bragg Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1991, Claimant Terry L. Bragg, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. credited funds to his customer account in error, and t

KJLS.D. AWMZD ASSOCIATICN OF SBCDKITHS DEALERS In the Matter of the Arbitration Between Name of Enaie B. Nordman, Ttustee for the Benefit of Ernie B. Nordman dated November 6, 1284 vs. NASD #91-02442 NJ5DDB Of Masoa Hunt & Company Wedbush Matgaii Securities George Jones For Claimant: Janes C. Krause, Esq., San Diego, California For Respondents* Mason Hunt: Nb appeazaoce at luvii linj For Wedbush Margan: Zftrie Eaton, Wadbush Mott

N.A.S.D. AWRED ASSOCIATION OP SBCDRITIES DEALERS In the Matter of the Arbitration Between of & Janet Fine 91-02437 Shearson T^rmamn Brothers, Inc. For Claimnts Etoard & Janet Flue: Anthcny V. Trogan, Esq. of the law firm of Weisman Trogan Young & Schloss. For Respondents gfraa-rwm r^hman Brothers, Inc. ("Shearson") and Robert ("Deaitoaugfa") : Howard H6rtz of the law firm Hertz, Schram & Saretsky, P.C. case Stateoent of n*im filed: A

NATIONAL ASSOCIATION CF SECURITIES DEALERS, _NC. In the Matter of the Arbitration Between John 5: Gloria Zaremba Claimants vs. Cowen & Company Thomas Bergen David J. Maloney ResDcn.aer.ts CASE #91-02434 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1991, Claimants, John & Gloria Zaremba, who appeared Pro Se ( alleged that in August 1983 they opened IRA accou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Donald Roger Klein and 91-02424 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David A. Stulberg REPRESENTATION QF PARTIES Donald Roger Klein ("Claimant") was represented by Anthony V. Trogan, Esq., of Weisman, Trogan, Young & Schloss, P.C., Birmingham, Michigan. Merrill Lynch, Pierce, Fenner & Sm

N.A.S.D. AWARD NATICNRL ASSOCIATION OF SfcUJklTlKS DEALERS In the Matter of the Azbitration Between ) ) of Kenneth H. & Frances Kortright ) ) ) Caa* No. 91-02410 Name of -Barh* Securities Inc. ) Melvin Harris ) Gerald Ballan ) For Claimants, Kenneth and Frances Kortright ("the Kortrights") : Gerald V. Wilsh, Esq. of the law offices of Gerald V. Walsh. For FffipfTytonta, Prudential aa^Em Securities f Inc. ("Prudential") ,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Michael Leeba Family Trust, Claimant v. M.L. Stern & Co., LLC and Michael Stephen Butsko, Respondents Case Number: 00-05233 Hearing Site: San Diego, California Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: James C. Krause, Esq. Krause & Kalfayan San Diego, California For Respondents M.L. Stern &

N.A.5.D. AWARD NATIONAL ASSOCIATION OP SECURITIES rmrafl In the Matter of the Arbitration Between f\f Gregory & Nella Lovinsky- 91-02400 Bear Stearns & Company Aimed For Claimants : Kenneth J. Fisher, Esq. of Kenneth J. Fi shear Co., L.P-A. For Respcodents: Nictolaa P. lavarone, Esq. of Bellows and Bellows. Statement of maim filed: August 1, 1991. Sutaission Ai ji >'»IIBIII i signed on: July 29, 1991. Joint Statement of Answer fi

N.A.S.D* AWARD NATICNKL ASSOCIATION OF SECORITIES DERLERS In the Matter of the Arbitration Between of Hedvig Hrlcafc vs. NASD #91-2398 Of Whale Securities Cccpany Craig Blitz For Claimant: Reed H. Benent, Esq. For Respondents: John P. Bevilacqua, Esq OffiB Statement of fna-im filed: August 5, 1991 Claimant's Submission Agreement signed: July 16, 1991 Joint Statanent of Answer filed by Respondents on: September 4, 1991 Subnois

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William Hilton Claimant CASE #91-02397 AWARD vs. Roscoe Blue and Omni Capital Markets, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 5, 1991, Claimant, William Hilton, who appeared Pro Se, alleged that Respondents Roscoe Blue and Omni Capital Markets, Inc. solicited him to