N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Stissi, Stephanie Depalo et al. 93-00540 Name of Respondents David Lerner Associates George Villasi REPRESENTATION For Claimants Barbara Stissi, Stephanie Depalo, Mia Terese Depaio and Barbara Stiss as guardian for Frank William Stissi ("Claimants"): John K Lawlor, Esq. located in Garden City, New York. For Res

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman{ James V. Blanch 93-00539 of Respondent FBS Investment Services, Inc. William L. Crumb CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1993, Claimant James V. Blanch, through his counsel James F. Bngelking, Esq. , Denver, CO, alleged that Respondent William Crumb of the

NJL&Ik AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. (a the matter of the Arbitration Between Dean Witter Reynolds, Inc. NASD Arbitration No. 93-00536 Stephen Biodhag For Claimant: Robert T, Sullwoki, Esq. - Onidu Heniagtoo & Sutctiffe - Sen FnuttttCft* Ca. For Respondent: In Pro Se Statement of Claim filed; February 12, 1993 Claimant's Submisctoa Agreement signed: February 9, 1993 Statement of An«wer Bled: Apiil 9» 1993 Res

J 4fe N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul N. Marcus, custodian Vs. 93-00532 Name of Respondents Leonard G. Collins Pflueger & Baerwald, Inc. REPRESENTATION Claimant, Paul N. Marcus as custodian for Jessica E. and Miriam E. Marcus, was not represented by counsel. Respondents, Pflueger & Baerwald, Inc. ("FBI") and Leonard Collins ("Collins"), were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C. Joseph Rubis 93-00531 Name of Respondents D.H. Blair & Company John Steinmetz Barclay Investments Inc. Global Financial Group Inc. REPRESENTATTON For Claimant C. Joseph Rubis ("Claimant"): Stuart Kaufman, Esq., of the law firm of Fisch & Kaufman, P.C., New York, New York. For Respondent D.H. Blair & Company ("D.

N.A.S.D. AWARD NATTQNAT. ASSOCIATION OF SECURITIES HEATERS. INC. In the matter of the Arbitration Between Name of Claimants Warren and Rebecca Stralev NASD Arbitration No. 93-00527 Name of Respondents Christopher Weil & Company. Inc. Philip Harrwell Christopher F. Weil B. Wayne Hughes Richard A. Lane REPRESENTATION For Claimant: David Liebrader - Investor Arbitration Services, Inc. - Woodland Hills, Ca. For Respondents: Eliza

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Russell F. & Beatrice R. Turco 93-00524 Name of Respondent Wayne Hummer & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1 1 , 1993, Claimants Russell F. and Beatrice R. Turco who appeared Pro Se, alleged that they were solicited by phone by Respondent Wayne Hummer & Co.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roslyn Silverman Trust, Rosiyn Silverman Samuel Silverman Trust, Samuel Silverman 93-00519 Name of Respondents Gruntal & Co., Inc. Moore Schley Cmeron & Co. G.M.S. Group, Inc. REPRESENTATION For Claimants, Roslyn Silverman Trust, Roslyn Silverman, Samuel Silverman Trust, Samuel Silverman ("the Silvermans"); pro se.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between of Claimants James and Margaret McKinney 93-00518 Name of Respondent « Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 1 1 , 1993, Claimant James & Margaret McKinney, who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-05051 Laura Bollenbacher, claimant vs. Charles Schwab & Company, respondent. ATTORNEYS: For Claimant, Laura Bollenbacher, appeared Tom Bollenbacher, Hiram Village, OH. For Respondent, Charles Schwab & Company, appeared Jane M. Weston, Esq., San Francisco, CA. DATE FILED: November 14, 200« CASE SUMMARY: Claimant alleged that respondent failed to notify claimant of a balance due