N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant (s) ) Brian P. & Linda B. Began ) ) Case No. 91-00382 Name of Respcndent (s) ) G.K. Scott & Ccnpany, Inc. ) Paul Gray ) ) For Claimants, Brian & THTIH« aogan ("the Hogans") : Frederick Schrills, Esq. of Holland & Knight. For Respondents, G.K. Soott & Company, Inc. ("G.K. Scott") and Paul Gray ("Gray") : William Isenbe

N.A.S.D. AWARD PUS ! 1C ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name Of ClaiTnant- Alfred J. Balerna Case # vs. 91-00381 Name of Respondents Legg Mason Wood Walker Inc. Eliot Rnhi vs. Name of Ihird- Party Respondent Michael Cerato For Claimant, Alfred J. Balerna: Daniel J. Marphy, Esq. of Gordon & Wise For Respondent, Legg Mason Wood Walker, Inc.: Bryan G. Killian, Esq. of Sherin & L

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Albert M. Schlick, TTEE Claimant vs. CASE 191-00379 AWARD Sam Skurnick Respondent CASE SUMMARY Pro Se Claimant Albert M. Schlick, TTEE, in a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1991, alleged that Respondent Sam Skurnick, an independent broker with an agreement with Prudential Securities, Inc *, ma

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Martin D. Conway and 00-04925 Minneapolis, Minnesota Name of Respondents J.E. Liss & Company, Inc. Jerome E. Liss REPRESENTATION OF PARTIES Martin D. Conway ("Claimant") was represented by Jan Stuurmans, Esq., Minneapolis, Minnesota. J.E. Liss & Company, Inc. ("Respondent J.E, Liss") and Jerome E. Liss ("Respondent Liss") (collectively as "R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wharton Capital Fanners LTD, (Claimant) vs. Morgan Stanley Dean Witter, Inc., (Respondent) Case Number: 00-00502 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wharton Capital Partners LTD, hereinafter referred to as "Claimant": Noah M. Weissman, Esq., Robinson Silverman Pearce Aronsohn, New York, NY. Respondent, Morgan Stanley Dean Witter, Inc., hereinaf

HATICNAL ASSOCIATION OF btXJURiTiKS DEALERS In the Matter of the Arbitration Between Name of Lillian E. Schilbe vs. 91-00376 Name of Securities West, Inc. M.A. Higgle For Claimant: Anthony M. Englese, Esq., San Francisco, California. For Respondent Securities West: Joseph M. Anton, Securities West, Santa Ana, California. For Respondent Higgles Mr. Higgle represented himself at hearing; after James R. Duncan, Esq., Irvine, California, ent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack K. and Sharon A. Harms Claimants vs. Shearson Lehman Hutton f Inc. n/k/a Shearson Lehman Brothers, Inc. Donald M. Swift Respondents CASE #91-00375 AWARD CASE SUMMARY Jack- K. and Sharon A. y?.r*r.ii, in a c!»im filed with the National Association of Securities Dealers, Inc. on February 4, 1991, alleged that Respondent Shearson L

Arbitration N.A.S.D. AWAFD NftUCNAL ASSOCIATION OF SECURITIES DEAI£PS In the Matter of the Arbitration Between of National AnocMton o* Securities Dealer* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 James and Staci Darragh VB 91-00371 Kirlin Securities Christopher Callagy Joseph Henn For Claimant: Claimants represented themselves. For Respondent: Kirlin Securities was represented by Anthony

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Don Tait r r Claimant ; vs. ; CASE #91-00370 AWARD Wilshire Discount Securities , Inc. Wedbush Morgan Securities, Inc. Respondents CASE SUMMARY Pro Se Claimant Don Tait, in a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1991, alleged that Respondents failed to check the authenticity of the certifica

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; » r Diana Peluso ; / Claimant ; ? CASE #91-00366 vs. ; AWARD r Christopher L. Foster ; • r Respondent ; CASE SUMMARY Diana Peluso represented by Michael B. Carrick r Esq. r Stanford, CT-, in a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1991, alleged fraud by inducement