N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernesto R. Espiritu Howard Fuechlin No. 92-01990 Name of Respondents Tucker Anthony, Incorporated Osborne Jones REPRESENTATION OF PARTIES For Claimants: John Troelstrup, Esq., of Griffin & Staat. Ltd., Chicago, Illinois. For Respondent Tucker Anthony, Inc.: Patrick J. Howley, Esq., of Tucker Anthony, Incorporated, New

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04997 Frances Barilla, claimant vs. Garrick Lynch and Raymond James Financial Services, respondents. ATTORNEYS: Claimant appeared Pro Se, Indian Shores, FL. For Respondents John M. Norton II, Esq., in-house counsel, St. Petersburg, FL. DATE FILED: November 10, 2000 CASE SUMMARY: Claimant alleged that respondents liquidated all of claimant's holdings. Claimant further alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf Claimants Steven, Judith, Marc and Jeremy Wurtzman Harold Paley Trust 92-01986 Name of Respondents Tucker Anthony Incorporated Svcn Monbcrg Pbr Claimants Steven, Judith, Mare and Jeremy Wurtzman and Harold Paley Trust: Robert J. Peaiiman, Esq. of the law firm of Robert J. Pearl. R>r Respondents Tucker Anthony Incorporated and Svcn M

N.A.S.D. AWRRD Arbitration NATICNAL ASSXIATICN OP SECORITE3S DEALERS In the Matter of the Arbitration Between Name of Claimant (s) William and Betty Kaplan, 91-02942 Name of Respondent (s) Merrill Lynch Pierce Fenner & Smith Inc Glenn D. National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe. Rorida 33301 (305) 522-7391 For Claimants, William & Betty Kaplan ("the Kapl

N.A.S.D. AWRKD ASSOdAHCU OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert Kronemeyer 91-02941 Name_ofRespondent(s) Concorde Brokerage Corporation For Claimant: Claimant Robert Kronemeyer appeared pro se. For Respondent: Michael Bachnftr, Esq. of New York City. case Statement of Claim filed: September 20, 1991. Claimant's Submission Agreement signed on: February 13, 1991. Statement of Ansvrer filed by Resp

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212} 858-4389 Name of Joan Weistocpf Case # vs. 91-02940 Name of Janney Mcntgcmery Scott Inc Mortimer Goldman For Claimant, Joan Weiskcpf , Peter Cella, Esq. of the law firm of Duign

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Matt and Frances Moreili 91-02939 Name of Respondent(s) Darnall, Kemna & Co., Inc. Marc D. Kemna Anthony S. Vaughan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimants Matt and Frances Morelii, who appeared Pro Se, alleged that Respondent D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #9X- 02938 AKUED In the Matter of the Arbitration Between Jung Ja Hong Claimant vs . Shearson Lehman Brothers, _Inc. Alan Cohen Respondents CASE SUMMARY In a claim filed with the National Association of Securitie Dealers, Inc. on September 20, 1991, Claimant Jung Ja Hon^ wh appeared Pro Se, alleged that in 1987 Respondent Alan Coheir, Financial Consultant with Respondent S

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02930 AWARD In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Giovanni and Maria Vaselli Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimant , Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their outside counsel, Kathy D. Patric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lambda Mech. Contracting Corp. Trust 91-02929 Name of Respondents Michael Eisenberg Concorde Brokerage Corp. REPRESENTATION For Claimant: Harold Krane, Trustee, Pro Se. For Respondent, Concorde Brokerage Corp.: Michael Bachner, Esq., a sole practitioner. For Respondent, Michael Eisenberg: Michael Eisenberg, Pro Se. CASE