N.A.S.D. AKftSD ______ Arbitration ® _ National Association of NKTICKAL ASSOdKTICN CEP SBCORTTIES DEALERS Securities Dealers, Inc. One East Broward Boulevard In the Matter of the Aibitration Between ) Suite 1 °°° H , _ .. . Ft. Lauderdale, Flonda ' (305) S22-7391 of Claimant (g) ) Louis Tovim ) ) Case No, 91-02846 ) Name of Merrill Lynch Pierce Fenner & Smith Inc ) William SatScer, III > For Claimant, Louis Tovim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02842 AWARD In the Matter of the Arbitration Between Joseph Kita Claimant vs. Jerry Gloss Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimant, Joseph Kita,- who appeared Pro Se, alleged that Respondent, Jerry Gloss a registered representative at Excel Securities solicited him to purchase 1,000 s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02841 AWARD In the Matter of the Arbitration Between Caroline S. Goldner Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimant, Caroline S. Goldner, who appeared Pro Se, alleged that on May 2, 1989 Mr. Howard Kobrin, a registered representative of Respondent, P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Thomas A. Wiltrakis, Esq. 91-02840 Name of Respondentfs) Equitable Life Assurance Society of U.S. and Ronald J. Doane REPRESENTATION The Claimant appeared pro se. For Respondents: Howard Elisofon, Esq. of the law firm of Greenberg and Traurig, New York, NY. CASE INFORMATION Statement of Claim filed: September 10,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Richard & Mary Virgile, JTTEN Claimant vs. Madison Chapin Associates, Inc. Joseph Krochak Respondents PUBLIC CASE #91-02839 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 12, 1991, Claimants Richard & Mary Virgile, who appeared Pro Se, alleged that in April, 1990 Mr, Michael Roo

7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 28 27 28 «» + \ MAY 1 : 15 R. Brian Oxman Maureen JaroscaK 14126 East Rosecrans Boulevard Santa Fe Springs, CA 90670 (310) 931-5058 or (310) 921-7881 Attorneys for plaintiffs, Paul M. Christiansen, individually and aa Trustee of the PMC Trust Estate dated May 14, 1982, and Irene c. Miller, Trus

Arbitration N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken of Robert J. and Bernadette T. Slaney Name of Respondents Charles Schwartz Prime Capital Services Inc. Jeff Oliver Michael P. Ryan Case No. 91-02835 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Claimants Robert J. and Bemadette T

Arbttratton N.JUS.D. JMKBD ASSOCanCK OP SBCCKHTES Tn Of National Association of Securities ueefteWt lnc» NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-02834 Brothers, lac. Par (TTalmnnfi Bruoa I. Sbaw r of *******"^ Simply, roc. For Reepcadttit, Merrill Lynch, Pierce. Famer & Snith ("Merrill Lyncii-),: Ibdd A* ZuckedaECOd, Esq. of Merrill Lynch. Pierce, Feaner & 3u±th. Fox

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In nhe Matter of the Arbitration Between Eugene J. Hanavan Claimant vs. Shearson Lehman Brothers, Inc. Larry Shatzkamer Respondents CASE #91-02833 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11, 1991, Claimant, Eugene J. Hanavan, who appeared Pro Se, alleged that on September 23, 1987 he instructed Respondent, Larry Sha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael Zwickl V. 00-04982 Denver, Colorado Respondents Schneider Securities, Inc. and Louis C. Alonzi REPRESENTATION OF PARTIES Michael Zwickl ("Claimant") was represented by Mark J. Appleton, Esq., of Robinson Waters O'Dorisio, Denver, Colorado. Schneider Securities, Inc. ("Schneider") and Louis C. Alonzi ("Alonzi") were represented by Russell K. Be