N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Sich and Mary A. Sich 93-02323 Name of Respondent Marion J. Molenda REPRESENTATION For Claimants, John Sich and Mary A. Sich ("Claimants"): Jeffrey A. Sellers, Esq. of the law firm of Silverberg, Yood, Sellers & McGorry located in Buffalo, New York. For Respondent, Marion J. Molenda ("Respondent"): Respondent appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James C & Joan L Spillman TTEES 93-02315 Name of Respondent Gerald Klein CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1993, Claimants James & Joan Spillman, who appeared Pro Se, alleged that Respondent Gerald Klein, through the firm of KMNY Radio Discount brokers changed in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants John R. Pace and Joyce R. Pace, individually and as Co-Trustees for the Bet Trading Defined Benefit Plan and 93-02312 Name of Respondents Dean Witter Reynolds, Inc. and Deric K. Martin REPRESENTATION OF PARTIES John R. Pace and Joyce R. Pace, individually and as Co-Trustees for the Bet Trading Defined Benefit Pla

\ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Kenneth W. and Thelma Mulcahy Name of Respondent(s) David Lerner Associates, Inc. Case No# 93-02311 REPRESENTATION For Claimants, Kenneth W. Mulcahy and Kenneth W. Mulcahy (the" Mulcahys"): Chandra L. Parker of Parker Perlstein & Co., Boca Raton, Florida. For Respondent, David Lerner Associates, Inc. ("David Lerner"): Ru

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter .of the Arbitration Between Name of Claimants Roy W. & Pauline M. Orr 93-02309 Name of Respondents Olde Discount Corporation Steve Maehl Mary Graff CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Roy & Pauline Orr, who appeared Pro Se, alleged that on February 22, 1993 Respondent Olde Discount Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: QO-03702 Sidney Paul Griffin, Jr., claimant vs. John Parker and Suntrust Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Altamonte, FL. For Respondents appeared Richard H. Bergman, Esq., of the firm Bergman and Jacobs, P.A., Miami, FL. DATE FILED: August 24, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a stop loss order in his account c

Corrected Stipulated Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Name of the Claimant Case Number: 00-00376 Banco Disa, S.A. Names of the Respondents Hearing Site: Boca Raton, Florida CIBC World Markets Corp. Lehman Brothers, Inc. Jamie Fals Gustavo Klimberg Julio Alejandro Guemes Juan A. Tapia Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Banco Disa, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard A. Bumb & Louise M. Bumb, Jtwros Award vs. #93-02308 Name of Respondents Dean Witter Reynolds Inc. Thomas Hess Forbes REPRESENTATION Claimant represented himself at the hearing. For Respondents: Janet Epstein, Esq. of Dean Witter Reynolds, Inc., located in New York, New York. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Perry & Iris Rootstein Name of Respondent Prudential Securities, Inc. 93-02305 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1993, Claimants Perry & Iris Rootstein, who appeared Pro Se, alleged that on December 14, 1992, they purchased 500 shares of Symantec Corporation, th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack L. Conlee and Darien Conlee; Palmas Tropicales, S.A. 93-02304 Name of Respondents Oppenheimer & Co., Inc.; Phillip Connor, III; Anastasio Carayanis REPRESENTATION For Claimants: Jack L. Conlee, Darien Conlee, and Palmas Tropicales, S.A. ("Conlee") were represented by Donald M. Feferman, Esq. of Feferman & Rehler,