N.A,S.D n AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Raymond and Dorothy Rimkus No. 93-00607 of Respondents D.H. Blair & Company Steve Markowitz Al Wardi Joseph Sorbara REPRESENTATION OF PARTIES For Claimants: James J. Moylan, Esq. of James J. Moylan & Associates, LTD., Chicago, Illinois, and J. Michael Fitzsimmons, Esq. of Fitzsimmons, Roberts and Paine, Oak Brook, Illinois. For Respondent D. H. B

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James H. Sullivan et al. Vs. AWARD Case #93-00604 Name of Respondents Shearson Lehman Brothers, Inc. Charles C. Kerl CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1993, Claimant James H. Sullivan by and through his counsel Gregory L. Wilmes of Briol &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Richard and Ann Stonefield vs. Case #: 93-00602 Name of Respondent Gruntal & Co. / .1 REPRESENTATION For Claimants, Richard and Ann Stonefield ("Claimants"), Evan Slavitt, Esq., from the law firiL of Hinckley, Allen and Synder. x For Respondent, Gruntal & Co. ("Gruntal"), Emilia M. DeMeo, Esq., in-house counsel. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen C. Perrone 93-00596 Bear Stearns & Company, Inc. Victoria R. Abrams REPRESENTATION For Claimant: Brian J. Isaac, Esq. of the law firm of Pollack Pollack Isaac & DeCicco. For Respondents: William C. Mallery, Esq. CASE INFORMATION Statement of Claim filed: February 17, 1993. Reply to Counterclaim filed on June 18, 1993. Reply to t

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimaDt Barbara Fassinger 93-00591 Name of Respondents Dean Witter Reynolds Inc. Michael IL Nkkfcr CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Febniary 17, 1993, Claimant Barbara Fassinger, who approved Pro Se, alleged that Respondent Michael R. Nkkkr of the Respondent firm De

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Neil E. West 93-00590 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1993, Claimant Neil E. West, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. sold two silver contract positions he owned without his a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Seymour G. Statman 93-00585 Shearson T^hman Brothers, Inc. John Michael Vermilya CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 17, 1993, Claimant Seymour G. Statman, who appeared Pro Se, alleged that Respondent John Michael Vermilya of the Respondent firm Shearson Lehman Brothers, Inc. failed to

NASD Arbitration No. 93-00584 _ N.A.S.D. AWARD NATTQNAT, ASSOCIATION OF SECTmiTTES DF&T.ER5 . In the matter of the Arbitration Between Name nf Claimant f si David S. Deskins Name* of Respondent (s) U.S. Securities Clearing Corp. Thomas W. Granvold REPRESENTATION For Claimant: David S. Deskins, Tacoma, Washington For Respondents: A. James Miranti, Esq., U.S. Securities Clearing Corp., San Diego, California CASE TOTORMATTON Sta

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05053 Horwitz & Associates, Inc., claimant vs. Charles B. Leckinger, respondent vs. Horwitz and Associates, Inc., and Joshua Fry. ATTORNEYS: For Claimant/Counterclaim Respondent, Horwitz & Associates, Inc., appeared Christopher L. Gallinari, Esq., of the firm Bellows and Bellows, Chicago, IL. For Respondent/Counterclaim Claimant, Charles B. Leckinger, appeared George S. Robinson, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUOTIES DEALERS In the Matter of the Arbitration Between Name of James L. Lewis, Trustee for James L. Lewis and Mary Anne Lewis 10-1 1-77 Living Trust, and Gwendolyn Lewis. His Daughter vs. NASD #93-00582 NflOlft of Respondents Prudential Securities, Inc., Formerly Prudential-Bache Securities, Inc. For Claimants: Myron S. Dunay, Esq., Delray Beach, FL For Respondent: Gary R. Gleason, Keesai Young