N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul A. Juergens 93-04209 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney, Inc.) Frank Esposto REPRESENTATION For Claimant Paul A. Juergens ("Claimant"): appeared pro se For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Frank Esposto ("Esposto"): Linda R. Alpert, Associate General Counse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cheyenne VAF Federal Credit Union 93-04208 Name of Respondent F.S.I. Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1993, Claimant Cheyenne VAF Federal Credit Union, through its counsel, Michael Reese, Esq. of Wiederspahn, Lummis &Uepas, P.C., Cheyenn

N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Frances J. and Charles D. Smith 93-04191 Nameof ResDondents Dean Witter Reynolds, Inc. Gregory Reece CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 12, 1993, Claimants Frances J. and Charles D. Smith, who appeared Pro Se, alleged that during October, 1987, Respondent Gr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James Hughes and Joseph E. Lenahan, IE, Claimants, vs. J,C. Bradford & Company, Respondent. Case Number: 00-03726 Hearing Site; Louisville, Kentucky REPRESENTATION OF PARTIES Claimants, James Hughes ("Hughes'*) and Joseph E. Lenahan, HI ("Lenahan"), nereinafter collectively referred to as " Respondent J. C. Bradford & Company ("Bradford") was represented by Austin Cart

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cheyenne -VAF Federal Credit Union 93-04169 Name of Respondent Marion Bass Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1993, Claimant Cheyenne VAF Federal Credit Union, through its outside counsel, Michael Reese, Esq. of Wiederspahn, Lummis & Liepas, P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patsy C. Leatherwood 93-04151 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1993, Claimant Patsy C. Leatherwood, who appeared Pro Se, alleged that in early October of 1987, she was advised by Hamilton Lewis H,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Belinda C. Anderson 93-04148 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Belinda C. Anderson, who appeared Pro Se, alleged that she purchased seven shares of Arvida/JMB Partners Limited Partn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward R. Feuerstein 93-04136 Name of Respondents .Merrill Lynch, Pierce, Fenner & Smith, Inc. John H. Wellington CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1993, Claimant Edward R. Feuerstein, who appeared Pro Se, alleged that in November, 1991, he wanted to purch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexey Zacharin Case # v. 93-04101 Name of Respondents Kenneth Edward Nightingale Lew Lieberbaum & Co., Inc. REPRESENTATION For Claimant: Adolph Seltzer, Esquire located in New York, New York. For Respondent, Lew Lieberbaum ("LLC"): Jay Marc Israel, Esq. in-house counsel, located in Garden City, New York. Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Goldman, TTEE/Anne Goldman Trust 93-04097 Name of Respondents The Chicago Corporation and Christopher Charmer REPRESENTATION OF PARTIES For Claimant at the hearing: Pro Se. For Respondents, The Chicago Corporation and Christopher Channer, at the hearing: Joy Pava Shulruff, Esq. of The Chicago Corporation, Chicago, Illinois