N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Connie Galpin ." ! 7 " v ""'' 93-04320 Narnp of Respondents Berthel Fisher & Company Financial Services Inc. Craig Halfpop In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Gaimant Connie Galpin, through her counsel, Martin Petersen, Esq. of the firm Klinkcnhorg, t $mann

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mohammed A. Shariff 93-04315 Name of Respondent Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Claimant Mohammed A. Shariff, who appeared Pro Se, alleged that Respondent Thomas James & Associates, Inc., through its registered representat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne S. and Curtis D. Lee, JTWROS £3-04310 Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 19, 1993, Claimants Curtis D. & Joanne S. Lee, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. misrepre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald A. Brainard, Claimant 93-04306 v. Gruntal & Co., Inc. Douglas Sherman, Respondents ;...-. REPRESENTATION OP PARTIES Mark W. Nichols, Esq., of Nichols, Wolff & Ledbetter, Little Rock, Arkansas, represented Claimant Donald A. Brainard ("Claimant"). Harry Frisch, Esq., Counsel for Gruntal & Co., Inc., represented Respondents, Gr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald P. Russo 93-04296 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimant Donald P. Russo, who appeared Pro Se, alleged that Respondent Charles Schwab & Co., Inc. made an error when it informed him thatin order

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas S. Gubanich 93-04295 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For Claimant Thomas S. Gubanich ("Claimant"): Claimant appeared pro se. For Respondent Gruntal & Co., Inc, ("Respondent"): Emilia M. DeMeo, Esq. of Gruntal & Co., Inc. located New York City, New Yoric. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. and 93-04271 Name of Respondent John C. Reed REPRESENTATION OF PARTIES Claimant, Kemper Securities, Inc. ("Kemper") was represented at the hearing by A. Brad Busscher, Esq., of Kemper Securities, Inc., Chicago, Illinois. Respondent John C. Reed ("Reed") was represented at the hearing by Gregory A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Weinfeld 93-04258 Name of Respondents A.G. Edwards & Sons, Inc. Russeil Sayegh CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 18, 1993, Claimant Steven Weinfeld, through his counsel Kenneth C. Gobetz, Esq. of Wichler & Gobetz, P.C., Suffern, NY, alleged that he main

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven Z. Newman 93-04251 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1993, Claimant Steven Z. Newman, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services cancelled his order to sell 900 shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlie Matter of the Arbitration Between Name of Claimants Wayne R. and Joan E. Harding, Trustee for the benefit of Wayne R. Harding & Joan E. Harding Trust 93-04210 Name of Respondent Scottsdale Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993, Claimants Wayne & Joan Harding, TTEES, who appeared Pro Se, alle