.VATIINAL ASSOCIATION ECURITIES DEALER INC. ne Arc i _ ra t i Mary Nancy Ross vs . Ron Bauer aimant: Resondent CASE #90-02380 AWARD •CASE SUMMARY In a claim filed with "he National Association of Securities dealers, Inc. on August 28, 1990, Claimant, Mary Nancy Ross, who appeared Pro 3e, alleged that Respondent Ron Bauer, while employed by Tri -Bradley Investments , solicited her to purchase penny stock

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER .. s f ' In the Matter of the Arbitration Between jj -|| i Mama of PJ aimant-.f s \ j George Little and Middle Management, Inc. of Respondent t s Rauschar Pierce Refsnes r Inc. and James W. Kenney REPRESEMTATIQN OF PARTIES Claimants George Little and Middle Management , Inc. were represented by Thomas C. Barrow, Esq. o f Godwin, Carlton & Maxwell, Dallas, Te

Arbitration National Association of a n aunnn Securities Dealers, Inc. N.A.S.D. AWARD NASD Financ j a | Center ^^ 33 Whitehall Street NATIONAL ASSOCIATION OP SECURITIES DEfiLERS New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Irna Petersen 90-02373 Name of First Investors Corporatioa For Claimant: Joseph Matticola, Executor of the Estate of Irma Petersen* For Respondent; Lis

OF ( ':53 FROM NftSD-flRBITRATlON-CNICflGD TO 141427166281 P.02 tt.A-S.D. A5SQCXKTICN OF SHCOKITIBS In tte Matter of the Attaitratlon aatwan K&ctexd ami itoncf mate and 90-02371 Bartz and lacry Petsn Claimants Richard and Mangy ffiate *EpMnrl pro se Dennis Bartz *og ropumiiUii by Ttery F. Pegpoid, Gftq* of Vtandal ancl Oentwr, Mmtteon y Wisconsin* nnijiiMliiii larry twaers a^inmul poo In a St&bemt of r1 *im filM with tto

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02369 AWARD In the Matter of the Arbitration Between Steve A. Hutchinson Claimant vs . Michael Block Respondent CASE SUMMARY Steve A. Hutchinson, in a claim filed with the National Association of Securities Dealers, Inc. on August 27, 1990, alleged that Respondent Michael Block made unauthorized purchases of unsuitable and misrepresented stocks for his account. Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant: I s) ) ) Sam & Ijsuise Apostolou ) Arbitration National Association of Securities Deafer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 90-02368 Name o s Michael Sobel Claimants, Sam and Dsuise Apostolou ("Apostolou"): were pro se. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration between: • Susan Layton Chittenden Claimant : AWARD vs . : Case #90-02366 • • New England Securities Corp. : Stuart M. Migdon " : Respondents : Heard by: Martin D. Eile, Esq. Public Arbitrator REPRESENTATION The Claimant appeared pro se via the telephone and the Respondents were represented by Mitchell A. Karman, Esq. CASE SUMMARY In

MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Naire of Claimant Janie D'Addio vs. #90-02361 Name of Respondents Churchill Securities. Inc. Robert Goldstein REPRESENTATION For Claimant Janie D'Addio ("Claimant"): Joel Forman. of Bondy & Schloss. For Respondent Churchill Securities, Inc. ("Churchill"): No representative appeared Tor this Respondent. For Respondent Robert Goldstein ("Goldstein'): No representative appeared f

,f\ . J . LJ • NATIONAL ASSOCIATION OF SECURITIES DEALERS 'n the Matter of the Arbitration Between Name of Clainv^nt; Sctward H. rowler Name of Respondent Charles Schwab & Company, Inc. 90-02360 Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Clainent, Edward H. Fowler (Fowler"): Fowler, who is not an attorney, represented himself.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harvey F. Dormer, individually and as Trustee of the Harvey F. Donner Trust DTD 1/6/98, Claimants v. Barren Chase Securities, Inc., Matthew J. DiMeglio, Jeffrey Arroyo, Howard Feinmel, and Robert Thomas Kirk, Jr., Respondents Case Number: 00-04852 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Ryan K. Bakhtiari, Esq.