N.A.S.D. AWARD NATICNftL ASSOdATICN OF SBCDRITIES DEALERS In the tatter of the Arbitration Between of ?3 (992 Robert Prygrocki 90-02353 Name of Respondents First Interstate Discount Brokerage Patrick Thompson Claimant, Robert Frygrocki was represented by M. Van Smith, Esq. of Mcuntain View, California. Respondent, First Interstate Discount Brokerage was represented by Mary Beth Marshall, Esq. of Decker, Hardt, Xbpf , Harr, Munsch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF tiUUUlUTltiS DEALERS In the Matter of the Arbitration Between i S. Raj an Claimant and 90-02350 Brennan Ross Securities, Inc. Norman E. Phillips Respondents EBiCL-jjg» Claimant Rangaswami S. Raj an appeared pro se. SOMBHT In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about August 23, 1990, claimant Rangaswami S. Rajan ("Rajan 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Louis & Anita Lazar 90-02348 Name Of Brown & Company Heard before: Name Public /Indus try Cornelius J. MsAuliffe, Esq. Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1990. Claimants alleged that the Respondent failed to exe

N.A.S.D. AWARD NATICWftL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name Q Shearson Legman Hutton, Inc. 90-02347 Name of Resnonrteani-/g| Jonathan R. Mortimer For Claimant: Jerry B, Hodson, Esq. of Miller, Nash, Wiener, Hager and Carlsen For Respondent: Respondent represented himself. Statement of Claim filed: August 24, 1990 Amended Statement of Claim filed: September 6, 1991 Claimant's Submission Agreeme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Kurt F. Piper Claimant vs . R.B. Marich, Inc. Respondent Case #90-02344 AWARD CASE SUMMARY Kurt F. Piper, in a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1990, alleged that his broker, Philip Brown, while employed with Respondent, R.B. Marich, Inc. , sold him stock which was not "blue skyed" in the sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Robert and Margaret Vertz Claimants vs. John S. Gill and Roy M. Henry Respondents AWARD Case 190-02343 CASE SUMMARY Pro Se Claimants, Robert and Margaret Vertz, in a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1990, alleged that Respondent John S. Gill, representing First Financial Planners/ with the appro

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dmytro Motruk Claimant vs. Financial Clearing and Services Corp. Joseph Hopkins, III Respondents CASE #90-02340 AWARD CASE SUMMARY Pro Se Claimant, Dmytro Motruk, in a claim filed with th« National Association of Securities Dealers, Inc. on August 23, 1990, alleged that Respondent Financial Clearing and Services " holding him liable for the

A//XSO N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jonathan and Joseph Penni vs. Name of ResponHmrt-s Merrill Lynch Pierce Fanner & Smith Inc Noel M. Webster Harvey Cook Arbitration National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-02338 For Claimant: Miles E, tfoi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Name of •r.laiflfln.t'.f si Kenneth J. Omandy 90-02337 Name of Respondentfs\ Anthony E. Ferruzzi Edward C. Maher Heard before: Name Public/Industry Allen Kilik Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1990, Claimant Kenne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Raoul and Yvonne Fritz Claimants vs. AWARD Case #90-02336 REPRESENTATION For Claimants RoauJL H. and Yvonne Fritz appeared pro se. For Respondent: The representative for Empire National Securities , Inc. was Donna Kiernan. INFORMATION Statement of Claim filed: October 24, 1990 Claimant's Submission Agreement signed on; August 17, 1990 Statem