NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mike and Kevin Pfluke Claimant vs. CASE #91-00091 AWARD Lee w. Farrow, Jr. Parsons Securities, Inc. Respondents CASE SUMMARY Mike and Kevin Pfluke, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1991, alleged that Respondent, Lee W. Farrow at Parsons Securities, Inc. misrepresented the value

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fra -ss A. Rogers No. 91-00084 Name of Respondents Shearson Lehman Hutton,~'inc. E.F. Hutton, Inc. Robert Posa REPRESENTATION OF PARTIES For Claimant: Francea A. Rogers appeared pro se. For Respondent: Andrew R. Harvin of Doyle, Reed, Restrepo, Harvin & Robbins CASE INFORMATION Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jfannie Neri Name of Respondents Stifel, Nicolaus & Company, Inc. Charles W. Schweizer Sue Ellen Jef feris Valentine Steven Jef feris 91-00082 For Claimant: Janes G. DiStefano, Esq. For all Respondents: C. Wayne Priirra, Esq. and Ellen E. Bonacorsi f Esq. of Coburn, Croft & Putzell. Statement of Claim filed: January 8, 1991.

Arbitration ® National Association of . a joaKon Securities Dealers, Inc. W.A.fa.D. AWAK1J NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Ruth Broun and Ann Harris 91-00081 Name of Respondents H.L. Michaels Securities/ Inc. Reward L. Michaels Mitchell Stoop For Claimant: Arthur Fisch, Esq. of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00675 AWARD In the Matter of the Arbitration Between Julia C. Cotton Claimant vs . Dean witter Reynolds, Inc. Respondent: CASE SUMMARY Pro Se Claimant, Julia C. Cotton, in a claim tiled with the National Association of Securities Dealers, Inc. on January 4, 1991, alleged that Respondent failed to inform her that First Federal Savings and Loan of Arizona was the previous na

N.A.S.D. AWARD NHTCNAL ASSOCDKE1CN OF SECURITIES nq&rjafl In the Matter of the Arbitration Between of dainant Patricia Burke 91-00071 Prudential-Sachs Securities and Jay R. Jablcnrtd. Claimant Patricia Burfce was reprooqntod by Harry **< **«*«>»«»*-, Esq. of Stczpoly & Stroud, P.C., Tixiaaci, Arizona. r lac. -»*^ Jay R. represented by Jesse B. fllitpscn, Esq. of Lewis and Boca, Aoeniac, Arizona. tte Statonent of Claim was filed wi

".A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lynne and Richard Breyer Claimants 91-00069 and Cenpac Securities f Corporation and Carl J, Gottlieb --. -jv- Respondents OF Claimants -^ere represented by &rc R . Lieberman , Esq . of Eaton , Lieberman and Dodge, Ltd. Phoenix, Arizona. Respondents were represented by Bradley P. Forst, Esq. of Tiffany and Hoffman, P.A. f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 1*91-00068 Award In the Matter of the Arbitration Between James L. & Dorothy L. Sparkman Claimants vs. Shearson Lehman Brothers Inc., Respondent CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc.- on January 4, 1992, James L. and Dorothy L. Sparkman who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers Inc. failed to follow explicit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert J. Krzys 91-00060 Name of Respondents Royce Park Investments, Inc. Elwayne Hafen REPRESENTATION For Claimant Robert J. Krzys: Richard Insogna, Esq. For Respondent Royce Park Investments, Inc. ("Royce Park"): no representative appeared for Royce Park at the hearing. For Respondent Elwayne Hafen ("Hafen"): no repre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-00054 AWARD In the Matter of the Arbitration Between Edmund S. Rittner Claimant vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY Pro Se Claimant, Edmund S. Rittner, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent Dean Witter Reynolds, Inc., by their representative Andrew Krosnowski, recommended an uns