N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants: Herman L. and Lilian A. Meckler 93-02247 Name of Respondents: James Cashman Mitchell Randolph Kerschner Gabriele, Hueglin & Cashman Inc. REPRESENTATION Claimants, Herman L. Meckler and Lilian A. Meckler ("the Mecklers") were pro se. For Respondents James Cashman ("Cashman"), Mitchell R. Kerschner ("Kerschner 1

NASD Arbitration No. 93-02233 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTJRTTTEg n^&T.mS . INC. In the matter of the Arbitration Between Name nf Claimant (si- Roger Presburger Name of Respondent (s) Clayton Securities Services, Inc. REPRESENTATION For Claimant: Roger Presburger, Calabasas, California For Respondent Clayton Securities Services, Inc. : Mark Diemer, Clayton Securities Services, Inc., Clayton, Missouri For Respondent Smy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Jo Gates Givens 93-02231 Name of Respondent Bobby Carl Locklier, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1993, Claimant Betty Jo Gates Givens, who appeared Pro Se, alleged that Respondent Bobby Locklier, Jr., while employed by RAF Financial Corp., contacted Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Eugene K and Ruth M. Ottersen 93-02227 Name of Respondents Smith Barney Shearson, Inc. f/k/a Shearson Lehman Brothers, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1993, Claimants Eugene & Ruth Ottersen, who appeared Pro Se, alleged that Respondent Smith Barney She

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Girard Stewart/Stewart Family Trust 93-02225 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1993, Claimant The Stewart Family Trust, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. failed to pr

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: A. Michael Koss, Claimant v. Merrill Lynch, Pierce. Fenner & Smith. Inc. and Todd Jeffrey Kleinfeld, Respondents Case. Number- 00-03699 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Ronald M. Katzman, Esq. Law Offices of Ronald M. Katzman Sherman Oaks, California Bryan 1. Reyhani, Esq Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Col. Joseph Klocek & Janice Klocek 93-02211 Name of Respondents Lance Hering F.N. Wolf & Co., Inc. REPRESENTATION For Claimants Col. Joseph Klocek & Janice Klocek ("Claimants"): Jeffrey S. Jacobovitz, Esq. of the law firm of Jacobovitz, English & Smith For Respondents F.N. Wolf & Co., Inc. and Lance Hering ("Respondents")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alex Brown & Sons, Incorporated 93-02201 Name of Respondent Glenn Edward Backus REPRESENTATION For Claimant Alex Brown & Sons, Incorporated ("Claimant"): Daniel J. Donovan, Associate General Counsel at Alex. Brown & Sons, Incorporated, Baltimore, MD. For Respondent Glenn Edward Backus ("Respondent") Richard J. Morvillo, Esq.

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Laura Crenshaw-Gordon, Individually and as Trustee of the Laura Crenshaw-Gordon Trust No. 93-02195 Name of Respondents Titan Value Equities Group, Inc. Patirck More REPRESENTATION OF PARTIES For Claimant; Robert D. Mitchell, Esq., Scottsdale, Arizona. For Respondents: Joseph E. Mais, Esq., of Brown & Bain, Phoenix, Arizona. CASE INFORMATION Claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis W. lander Trust, Louis Jander TTEE Lorraine U. Jander Trust, Lorraine U. Jander TTEE 93-02190 Name of Respondents William O'Neill J.W. Charles Securities, Inc. REPRESENTATION For Claimants, Louis W. Jander Trust, Louis Jander TTEE, Lorraine U. Jander Trust, Lor. Jander TE ("The Janders"): Russell L. Forkey, Esq.