Arbitration - National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 a ^ n MOVKD Ft - t-auderdale, Florida 33301 .A.S.D. AWARD (3Q5) g NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of, the Arbitration Between"" of naHm»nt(s) Ellen Curotto 91-01656 Name of Respondent(s) Cppenheimer & Co., Inc. Paul Ef ran Robert B, Hard Kenneth Sussnan Alan Holanan For Clai

Arbitration »; National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Between New York, N.Y. 10004 FAX (2 12} 858-4389 Name of Claimant (s) Joseph Bazberio 91-01655 Name of Regponripnt (s) Wall Street Discount Corporation Ernst & Company For Clainant: Donal B. Barrett of Barrett & Associates ' s . For Respondent, Ernst & Company: Michael H. Du Boff , Esq. of Salon, Marr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Orian and Jean J. Wood Claimants vs. Michael Robert Hammersmith Respondent Case #91-01652 AWARD CASE SUMMARY Claimants Orlan and Jean J. Wood, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1991, alleged that Respondent Michael Robert Hammersmith misrepresented a sale to them of 125,000 shares of Fa

N.A.S.D. AWARD NATICNAL ASSOCIATION OF HHAJ U *-'•*•' ' **•* DEAIBIS In the Matter of the Arbitration Between Name of dainBnt(s) Arthur Hrytorowycla 91-01649 Martin Sands Jack Lasday For Claimant: Arthur Hryborowych appeared pro se. For Respondent Martin Sands: Gary Franklin, Esq. of Sanria Brothers, Inc. in New York City. For Respondent Jack Lasday: Eric Rein, Esq. of Schwartz Cooper Kblia & Gaynor in Chicago, Illinois. Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01648 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs . Michael Scott Davis Respondent CASE SUMMARY PaineWebber, Inc. by its attorney Garry J. Stegeland, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on May 29, 1991, alleged that Respondent Michael Scott Davis has failed to satisfy a debit balance in

N.A.S.D. AWARD NKCXGKAL ASSOCTATICN OF SBCDRITIES DEftLERS In the Hatter of the Arbitration Between Name of Claimant Yvcnne F. Thede 91-01647 Malcne & Associates, Inc. Rdbert 6* Malone Robert HoGee Claimant was represented by Richard T. Webrle, Esq., Denver, Colorado and Russell K. Bean, Esq. of Krys, Boyle, Golz, Reich & Freedman, Denver, Colorado. Respcandents Malone & Associates, Inc. and Rdbert G. Malcne were represented by Rober

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between Mama Ralph A. Mill 91-00270 of espondent ) U.S. Bancorp Brokerage KK^M^^ For Claimant: John M. Keefe r Esq. For Respondent: Richard L. Caswell, Esq., of U.S. Bancorp Statement of n*im filed: January 25 r 1991 First Anandad Claim filed: April 12, 1991 Claimant's Submission Agreement signed om January 21, 1991 Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Name of Claimant: (s} Robert S. Peterson Name of Resnon PaineVfebber Incorporated Alan Siegel 91-00269 For Claimant: Robert S. Peterson appeared pro se. For Respondents: PaineWebter Incorporated and Alan M. Siegel were represented by Joseph. A. Vallo, Esq. of PaineWebber Incorporated, Vfeehawken, Mew Jersey. Statement of Claim filed: Jan

Arbitration National Association Of Securities Dealers, hie. _ NASD Financial Center OP SEUURITlbtf CBhlfRS 33 Whitehall Street New York, N.Y. 10004 la the Hatter of the Aibitration BetNeea FAX (21 2) 858-4389 Name of Iheresa R. Gregorian 91-00267 £ p< Ma a • vlont-fl Shearscn ii^man Brothers, IDC* Donna M. BloriH For Claimant Theresa R* Gragcxrlch ("Claimant") : George L. MoGaugbey, of McDonald, Hopkljis et al- For Respondent

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wane of _ClaimantH Richard and Mary Virgile 91-00265 Name of Respondents Richard A. Chennisi Steven Stil Robert R. Sfcoff John Moran Edward Gonzales RKPRBSKHTATIOH For Claimants Richard and Mary Virgile ( "Claimants •) : Richard Virgile. For Respondent Richard A. Chennisi ( 'Chennisi") : Jeffrey B. Hulae, Esq.. For Respondent St