N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William H. Long Trustee/W.L. Trust 93-01863 Name of Respondent First National Brokerage Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant William H. Long, who appeared Pro Se, alleged that Respondent First National Brokerage Services failed to notify him

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf PaineWebber, Inc. 93-01859 Name of Resqflinfefi{ David Okomo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1993, Claimant PaineWebber, Inc. , through its in-house counsel, Garry J. Stegeland, Esq. , alleged that Respondent David Okomo failed to pay a debit balance be incurr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Fischer 93-01857 Name of Respondent M.H. Meyerson & Co,, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1993, Claimant Robert Fischer, who appeared Pro Se, alleged that on November 24, 1992 he was solicited by Mr. Frank Lorenzo of Respondent M.H. Meyerson

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Mark B. Epstein and Angela Epstein 93-01856 Name of Respondent s) Bear Stearns & Company, Inc. Lawrence Spaulding Rule REPRESENTATION For Claimants Mark B. Epstein and Angela Epstein: William Paul Mason, Esq. of the law firm of Weiner & Associates, Atlanta, GA. For Respondents Bear Stearns & Company, Inc. and La

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patrick Dora 93-01849 Names of Respondents Kemper Securities Inc., John letter and Daniel Laraway REPRESENTATION Claimant, Patrick Dora ("Dora") was represented by Michael Salcido, Esq. of Scottsdale, Arizona. Respondents, Kemper Securities, Inc. ("Kemper"), John Jetter ("Jetter") and Daniel Laraway ("Laraway") were

N.A.S.D. AWARD Name of Claimant Ronald E. Nielsen No. 93-01844 Name of Respondent Dickenson & Co. f/k/a R. G. Dickenson & Co. REPRESENTATION OF PARTIES For Claimant: Bruce Pearson of Pearson, Inc., Fargo, North Dakota. For Respondent: Catherine A. Gnatek, Esq., of Dorsey 6c Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed on or about: May 6, 1993. Claimants' Submission Agreement signed: March 15, 1993. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Reich 93-01842 Name of Respondent Shearson Lehman Brothers, Inc. Winston Zabiela CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1993, Claimant Eugene Reich, by and through his counsel, Thomas J. Hannahan, Sole Practitioner, New York, NY, alleged that on or about July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Daniel J. Schlewitz 93-01823 Name of Respondent Coordinated Capital Securities of Wisconsin, Inc. REPRESENTATION For Claimant: Daniel J. Schlewitz ("Schlewitz") was represented by Bruce Pearson of Fargo, North Dakota.. For Respondent: Coordinated Capital Securities of Wisconsin, Inc. ("Coordinated Capital") was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jonathan O. Swan, et al. Award vs. # 93-01815 Name of Respondents George A. Klepacki Moors & Cabot, Inc. REPRESENTATION For Claimant, Jonathan O. Swan individually and as Trustee for Cygnet Real Estate Trust ("Claimant"), Joseph P. Carmichael, Esq., located in Salem, Massachusetts. For Respondent, Moors & Cabot, Inc. (

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Names of Claimants Mary Anderson Mackie Trust Mary Anderson Mackie Richard Glenn Mackie Trust Richard Glenn Mackie Names of Respondents Legg Mason Wood Walker, Inc. Frederic Kirby Newburger Kevin George Mackey Case Number: 00-03677 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For Mary Anderson Mackie Trust, Mary Anderson Mackie, Richard Glenn M