N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis G. Marchman and L. Kamau Marchman 93-01811 Name of Respondents Darwin K. Yarborough Alfredrick Williams CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1993, Claimants Louis G. & L. Kamau Marchman, who appeared Pro Se, alleged that Respondent Alfredrick Williams, form

12-21-1994 04:15PM FROM NASD Arbitration/Chicago TO 12128583974 P.18 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name fif Keraper Securites, Inc. and 93-01802 Name of Respondent EnzoPaolilli REgRESENTATIQN OF PARTIES Claimant was represented by A. Brad Busscher, Esq. and Reran I. Sugarman, Esq. of Kemper Securities, Inc., Chicago, Illinois at the hearing. Respondent represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elaine Kramer 93-01799 Name of Respondents Smith Barney Harris Upham & Co.. Inc. Ronald J. Russo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1993, Claimant Elaine Kramer, who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & Co., Inc. and Ronald J. Ru

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 93-01792 Name of Respondent Thomas M. Reindl REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant"): Edward P. Degenhardt, Litigation Counsel at PaineWebber, Inc. For Respondent Thomas M. Reindl ("Respondent"): appeared pro se. CASE INFORMATION Statement of Claim filed: May 3, 1993 Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Antoinette Apicella 93-01789 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Edward Francis Shell CASE SUMMARY In a claim with the National Association of Securities Dealers, Inc. on May 4, 1993, Claimant Antoinette Apicella, who appeared Pro Se, alleged that she contacted Respondent Edward F. Sheil, an empl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURJTTF^ pFAT.FRS. INC. In the matter of the Arbitration Between Name of Claimant Shashin N. Kadakia NASD Arbitration No. 93-01782 Name of Respondents Fidelity Brokerage Services Tom Simeone RFPRFSFNTATTON For Claimant: In Pro Se For Respondents: In Pro Se CASE Statement of Claim filed: May 4, 1993 Claimant's Submission Agreement signed: December 29, 1992 Statement of Answer filed

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corby Sable 93-01769 Name of Respondent Ohio Savings Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant Corby Sable by and through his counsel Lawrence J. Rich, Esq. of Zashin, Rich & Sutula Co., L.P.A., Cleveland, OH, alleged that he plac

t t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Cynthia Ann Klapper, Individually, and as Trustee for her Children, Claimant, v. No. 93-01762 Prudential Securities Incorporated, and Lewis J. Bair, Respondents. REPRESENTATION OF PARTIES For Claimant Cynthia Ann Klapper, Individually, and as Trustee for her children ("Claimant"): Frank Lewis, Esq., of Begam, Lewis, Marks, Wolfe & Dasse, Phoenix, Arizona. For Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ramon A. Shane, M.D. 93-01757 Name of Respondents Dickinson & Co. Michael S. Rohdenburg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1993, Claimant Ramon A. Shane, M.D., who appeared Pro Se, alleged that Respondent Dickinson & Co., through its broker, Responden

STIPULATED AWARD NASD DISPUTE RESOLUTION, INC. H & R BLOCK FINANCIAL ADVISORS, INC., F/K/A ) OLDE DISCOUNT CORPORATION, ) Claimant, v. MORGAN STANLEY DEAN WITTER & CO. Respondent. NASD DR No. 00-03675 REPRESENTATION OF PARTIES For Claimant: H & R BLOCK FINANCIAL ADVISORS, INC., is represented by Steven Malina, Esq., Ungaretti & Harris, 3500 Three First National Plaza, Chicago, Illinois 60602. For Respondent: MORGAN STANLEY DEAN WITTER &