N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Scott £. and Beth A. Schoenborn 94-01844 Name of Respondents Paulson Investment Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17; 1994, Claimants Scott E. and Beth A. Schoenbom, who appeared Pro Se, alleged that Jeff Pieper, a broker at Respondent Paulson Investmen

09= 20 FROM NflSD-fiR3ITRPfTIDN-CNICfiGO TO 12128584141 P.02 N.A.S.D, AWARD T1ONAL ASSOCIATION CjF SECURITIES DEALERS In the Matter of the Arbitration Between Name of' Smith Barney Sbearsoo, Inc.; Bany GUler 94-01248 Respondents Prudential Securities, Inc.; Christina Lyn Stovall For Claimant: Smith Barney Shejuson, Inc. ("Smith Barney 11 } and Bany Ciller ("Oilier 11 ) were represented by Jerome K Raskas, Esq. and Made D.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sergio Lvov 94-01162 Name of Respondents Mark Nicholas Savoca Hanover, Sterling and Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1994, Claimant Sergio Lvov, through his counsel Martin Mushkin, Esq., New York, NY, alleged that Respondent Hanover Sterling & Co., thro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kristina Stafen 94-01051 Name of Respondents James F. Welgos CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1994, Claimant Kristina Stafen, who appeared Pro Se, alleged that Respondent James F. Welgos sold her position in the Van Kampen Merritt Prime Rate Income Trust (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eileen C. and Eric E. Schenck 94-00956 Name of Respondents Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1994, Claimants Eileen C. and Eric E. Schenck, who appeared Pro Se, alleged that they purchased shares of Vision Sciences, Inc. of Cal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Maryrose and Carl Mulert 94-00919 Name of Respondents Marvin R. Bun Butt & Associates, Inc. REPRESENTATION Claimant Maryrose and Carl Mulert ("Claimants") were represented by Russell L. Forkey, Esq., Ft. Lauderdale, FL. Respondents Marvin R. Burt ("Burt") and Burt Associates, Inc. ("BA") were rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants GKN Securities Corp. 94-00414 Name of Respondents Mitchell Lass CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1994, Claimant GKN Securities Corp., through its in-house counsel Katherine Nathan, Esq., New York, New York, alleged that Respondent Mitchell Lass entered i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elaine Berel 94-00211 Name of Respondents The Dreyfus Service Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 18, 1994, Claimant Elaine Berel, who appeared Pro Se, alleged that she was told by a representative of Respondent The Dreyfus Service Corporation ("Dre

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Michael Randall and Sheila Randall and 00-03745 Phoenix, Arizona Name of Respondents Prudential Securities Incorporated Janet Horowitz REPRESENTATION OF PARTIES Michael Randall and Sheila Randall ("Claimants") were represented by Stephen C. Yost, Esq., Campbell, Yost, Hergenroether & Clare, PC, Phoenix, Arizona until October 16, 2001. Since

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aitutrauon Between Name of Claimants Dain Bosworth Inc.. Michael C Conroy and William A. Ford 94-00194 Name of Respondent Dougherty Dawkins. Strand & Bigeiow, inc. Third-parties, Peggy Lehtola ana Dana Descourouez REPRESENTATION OF PARTIES For Claimants, Dain Bosworth, Inc., Michael Conroy, and William Ford, and Third-Party Respondents, Peggy Lehtola and Dana