N.A.S.D. ASSOdMTCN OF SBGDRnTES TTFaLKRfl, INC. la tfaa Matter of tha Arbitration BetMoon of Fred C. & fiosemarie V. Mueller 91-02311 of pmi| M nHflfifca Pnvimtinl -Bache Securities Inc. Bernard Seyller SespGDdents were represented by Robert L. Jackatadt, Esq. of Paper, Martin, Jensen, M»-ir*iai and Betiage, St. Louis, 1C. The Statement of Halm was filed on or about July 30, 1391. Claimant's Submission Agreement signed on July 20, 1391 b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants -O*T" Lanay Locher-Alvarez & Donald R. Alvarez ^r 91-02306 Name of Respondents Shearson Lehman Hutton, Inc., now known as Shearson Lehman Brothers. Inc.; Christopher Tara REPRESENTATION For Claimant: Lanay Locher-Alvarez and Donald R. Alvarez were represented by Frank Lewis, Esq. of Langerman, Begam, Lewis and Marks, P.A.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 'a :h= Matter ct' ;he Argitrauon Berween Name of Claimants Ernest P. and Phyllis B. BUbuber 91-02296 Name of Respondents R.F. Latferry A Co., Inc. Securities Settlement Corporation Whitehall Securities. Inc. Erast & Company Joshua Fry Booth duBerrier & Co. Bedstone Securities Inc. Gorman Commodities and Securities, Inc. U.S. Clearing Corp. REPRESENTATION For Cl

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. Allison West 91-02295 Name of Respondents Oppenheimer & Co., Inc. Susan Chalom Thomas Jackson REPRESENTATION For Claimant: Gerry E. Feinberg of the law firm of Bower & Gardner. For Respondents Oppenheimer & Co., Inc. and Susan Chalom: John T. McGuire, Esq. The Respondent Thomas Jackson did not attend the hearin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan J. Bender, (Claimant) vs. Robert Levin, Renata Trading, LLC, Wilcris Trading, LLC, Andrew Bellak, and Roy Welland, (Respondents) Case Number: 00-04963 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Susan J. Bender, hereinafter referred to as "Claimant", appeared pro se. Respondents, Renata Trading, LLC ("Renata") and Andrew Bellak ("Bellak"): Brian

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02292 AWARD In the Matter of the Arbitration Between Rajeeve Madan Claimant vs. First of Philadelphia Mike Preddy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant, Rajeeve Madan, who appeared Pro Se, alleged that on January 25, 1989 Respondent Mike Preddy phoned to inform him that he purchased so

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter or the Arbitration Between PaineWebber, Inc. Claimant vs. D.R.S. Holdings, Inc. Respondent CASE #91-02290 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant PaineWebber, Inc. who appeared Pro Se, alleged that Respondent D.R.S. Holdings, Inc. purchased 2,000 shares of Ryan Beck & Co. , _^n.c.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimant Gerald Rubin No. 91-02287 Name of Respondent First Chicago Investment"Services, Inc. REPRESENTATION OF PARTIES For Claimant: Stewart I. Gartner, Esq. For Respondent: Susan Caruba, Esq. of First Chicago Investment Services, Inc. CASK INFORMATION Statement of Claim filed: July 25, 1991. Claimant's Submission Agreement

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02284 AWARD In the Matter of the Arbitration Between John P. Aravanis Claimant vs. Gary A. Pavlo W. Douglas Davidson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1991, Claimant John P. Aravanis, who appeared Pro Se, alleged that Respondents Gary A. Pavlo and W. Douglas Davidson of Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley Golin & Richard Parker, TTEES Case No. 91-02282 Name of Respondent s) Raymond James & Associates, Inc. Prudential-Bache Securities Inc. Russell Ketchum REPRESENTATION For Claimants, Stanley Golin ("Golin") and Richard Parker ("Parker"): Steven R. Reininger, Esq. of Rasco & Reininger. For Respondents, Raymond