N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Name of Claimant Texvest Factors & Financial Services Corporation and -~ -91-02519 Name of Respondents - - -".. '»-- Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES Claimant Texvest Factors & Financial Services Corporation was represented by Tim G. Sralla, Esq. of Fielding, Barren & Taylor, Fort Worth, Texas. Respondent S

Arbitration w a s n AWARD National Association of W.A.&.D. AHAKU Securities Dealers, inc. ___ „ ,_ __ _ __ ^ __ NASD Financial Center NATICMAL ASSCCEATICN op SBojkrmi! DEALERS 23 whitenait street New York. N.Y. 10004 In the Matter of the Arbitration Between p AX 121 2) 858-4339 Nans of Kenneth A. Barton 91-00408 Name of Respondents Securities Settlement Corporation Manmouth Investments, Inc. Larry Zuliani 3d Ransom St

NJLS.D. AWARD Arbitration NATIONAL ASSOCIATION OF SHUUklTiKS DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Jerry Keoney tfame_of_Jtegxpdent(s) Snith Barney Harris qpham & Co., Inc. Mark R. Sorensen National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No . 91-00400 i*af»asaanxmut Claimant, Jerry Kenney ("Kenney")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00399 AMABD In the Matter of the Arbitration Between Edward Baumgartner Claimant va. Charles Schwab & Co., Inc. * Respondent CASE SUMMARY Pro Se Claimant, Edward H. Baumgartner, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that Respondent Charles Schwab & Co., Inc. owes him interest from January 1988 to March 1989

•D N.A.S.D. NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Ajfcitration Between Gaaanella & 91-00398 D. and Conpany Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Far Claimants Cannella Orlando and Caruso of Caruso & Caruso. Orlando ("Claimants")s Steven B* For H. Ttyinag DuocJc of Qonpany ("EC

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dam Rauscher Incorporated, f/k/a Dam Bosworth Incorporated Claimant, Vs. Ian C. McQuade Respondents. Case Number: 00-04926 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Dain Rauscher Incorporated ("Dain Rauscher"): Shelley L. Parnell, Esq. of the firm Dorsey & Whitney, LLP, Minneapolis, Minnesota. Respondent, Ian C. McQuade, ("McQuade") wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration-Between ) ) David Lauber ) Shirley Electric Defined ) Benefit Plan ) Claimants ) ) AWARD VS. ) ) NASD #91-00395 Lombard Securities ) Dan Detrick ) Respondents ) ) REPRESENTATION David Lauber represented Claimants* Lombard Securities was not represented. Dan Detrick was represented by Paul N. Mirabelli, Esq., Hazlet, New Jersey. No

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicholas C. Johnson, III Claimant vs. CASE #91-00393 AWARD John Osipovitch Respondent CASE SUMMARY Nicholas C. Johnson, III, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that Respondent John Osipovitch, his stock broker at Financial Equities, failed to execute a sell order for hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00390 AWARD In the Matter of the Arbitration Between R.C. Harrington Claimant vs. Prudential Securities, Inc. Respondent CASE SUMMARY Claimant R.C. Harrington, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on February 6, 1991, alleged that his broker William Cox at Prudential-Bache Securities, Inc. now known as Prudential Securities, Inc.,

JVASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward R. Fleischman vs. Name of Respondent Prudential Securities Inc. Arbitration National Association of Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 91-00384 For Claimant: Pro se. For Respondent: Joel Levinson, Esq. in-house counsel.