NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00233 AWARD In the Matter of the Arbitration Between Daniel M. Schwartz Claimant vs . Merrill Lynch, Pierce, Fenner & Smith, Inc . Respondent CASE SUMMARY Pro Se Claimant, Daniel M. Schwartz, in a claim filed with the National Association of Securities Dealers, Inc, on January 23, 1991, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to inform hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00232 AWARD In the Matter of the Arbitration Between Kenneth V. and Marie C. Martin Claimants vs. Murphey-Favre, Inc. Respondent CASE SUMMARY Pro se Claimants Kenneth V. and Marie C. Martin, in a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1991, alleged that Respondent Murphey-Favre, Inc. misrepresented the cash out and penalty on Unite

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-(.q| Cmar Tawill 91-00227 Name of Respondentfs) Dean witter Reynolds, Inc. Dennis JfcGrath Claimant was represented by Rececca Newman, Esq.. Respondents were represented by Richard A. Rogoff, Esq. This matter was initiated by a Statement of Claim filed with the Chicago Board Options Exchange, Inc. ("CBOE") and transfered to

Arbitration N.A.S.D. AWARD OUCBGD BOARD OPTIONS EXCHBMZ National Association of Securities Deateri, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Michael W. & Paillettes Walter vs Name o 91-00226 Prudential-Bacha Securities Inc. Heard before: Name Lawrence R. Bowers, Esq. Public This claim was initiated by.- a Statement of Claim filed with the Nati

Arbitration MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Herbert M. Linsenberg Name of Respondent f£l Prudential Securities Inc 91-00225 National Association of Securities Daalsfs, inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 f? or Claimant: John W. Itorris, Esq. ''or Respondent: Marc S. Dobin of Prudential-Bache Securities, Inc. Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward J. & Charlotte N. Zubeck 91-00222 Prudential Securities, Inc. Robert C. Hicks For Claimants: Robert J. Lecky, Esq. For Respondents: Jonathan C. Thau, Esq. & Dicker of Wilson, Elser, Moskowitz, Edelman Statement of Claim filed: January 22, 1991. Claimants' Submission Agreement signed: February 1, 1991. Joint

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 191*00210 AWARD In the Matter of the Arbitration Between Emil R. Proska, III Claimant vs. R.B. Webster Investment, Inc. Respondent CASE SUMMARY Pro Se Claimant, Emil R. Proska, III f in a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1991, alleged that Respondent R.B. Webster Investment, Inc. and their former- agents gave him misleadi

Award NASD Dispute Resolution In the Matter of the Arbitration Between; First Union Securities, Inc. v. Tom H. Martindale Case Number: 00-04940 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: First Union Securities, Inc. Diane C. Fischer, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Tom H. Martindale Gerald L. Wolfe, Esq. Law in Progress Irvine, California CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s^ Obdulia Rivera 91-00206 Name of Respondent(s1 Carmen Glikberg For Claimant: David A. Baugh f Esq. Respondent failed to appear. Statement of Claim filed: January 17, 1991 Claimant's Submission Agreement signed ons January 15, 1991 Carmen Glikberg failed to file a Statement of Answer and a Submission Agreement.

N.A.S.D. AWARD NATIONAL ASSOdATICN OF StXJUKITlES DEALERS la the totter of the Arbitration Between Name of William and Rose Rotbooan cn Haxvey Bassin Button, Try*, Case No. 91-00202 For Claimants, William and Rtee Rottuan (•Rothnaas*): Dan Brectoer, Sag* .of the Law Offices of Dan Brecher. For Respondent, Shearson Lehman Brothers, Inc. ("Shea Esq. of Boose, Casey, Ciklin, et al. Sespoodent, Harvey Raaain ("Bassin"): gjo ae. "): B