N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Arthur Kliff 93-01928 Name of Respondents LaSalle Street Securities, Inc. & Jack McDermott REPRESENTATION OF PARTIES For Claimant at the hearing: Jeffrey B. Kelvin, Esq., Financial Planners Assistance, Plymouth Meeting, Pennsylvania. For Respondents at the hearing: David A. Genelly, Esq. of Fishman & Merrick, P.C., Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George M. Grabowski 93-01923 Name of Respondents Dean Witter Reynolds, Inc. William Q. Perrott SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1993, Claimant George M. Grabowski, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and William Q. Perrott used

SOOd WV/.*:60 t6-9I-90 11-11 898 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dennis James Karol 93-01905 Name of Respondents Sherwood Capital, Inc. David C. Dever Frederic W. Rittereiser Gregory M. Hasho For Claimant Dennis James Karol: pro se. For Respondent Sherwood Capital, Inc.: Jeffrey P. Flynn, Esq. of Crummy, Del Deo, Dolan, Griffinger, & Vecchi. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney Jacoby 93-01900 Name of Respondents Prudential Securities, Inc. George E. Anderson, m CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 12, 1993, Claimant Sidney Jacoby, through his counsel Edward W. Russey, m, Esq., alleged that Respondent George Anderson, m, through the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants William E. Brookhauser Virginia Brookhauser No. 93-01891 Name of Respondent R.G. Dickenson & Co. n/k/a Dickenson & Co. REPRESENTATION OF PARTIES For Claimants: Bruce Pearson of Fargo, North Dakota. For Respondent: Catherine Gnatek, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about May 10, 1993. Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFATFRS Name of Claimants David A. Mclnnes Laura L. Mclnnes No. 93-01888 Name of Respondent R.G. Dickenson 6c Co. n/k/a Dickenson & Co. REPRESENTATION OF PARTIES For Claimants: Bruce Pearson, of Pearson, Inc., Fargo, North Dakota. For Respondent: Catherine A. Gnatek, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about: May 10, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Art Knoeiler 93-01886 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc John Albert Hinken REPRESENTATION For Claimant, Art Knoeiler ("Knoeiler"): Harry M. Hobbs, Esq., Tampa, Florida. For Respondents, Merrill Lynch, Pierce Fenner & Smith, Inc. ("MLPFS") and John Albert Hinken ("Hinken 11 ): Burton W.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Vincenzo and Maria Perfili and 00-03685 Southfield, Michigan CCM Financial Corporation Seger Financial, Inc. Washington Square Securities, Inc. Donald J. Whitton Jeftrey A. Egan REPRESENTATION OF PARTIES Vincenzo and Maria Perfili were represented by David M. Foster, David M. Foster, P.C., Farmington Hills, Michigan. CCM Financial Corporation ("CCM") was

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants C.F. Moseley & Clara D. Moseley Trust tor Ada Moseley Jeffries, Mercantile Bank of Kansas City, successor 93-01885 Name of Respondent Randy Burch CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on May 11. 1993. Claimants C.F. Moseley & Clara D. Moseley Trust for Ada and Me

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William G. & Susan £. Monroe 93-01884 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1993, Claimants William and Susan Monroe who appeared pro se, alleged that Respondent Charles Schwab and Co. failed to follow their