N.A.S.D. AWARD ( N7TIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njffng Of Claimant(ff) Mary D. Jaka 88-02695 Name of l^r sl Pp 1 T| eT1 ^ f s ) Smith Barney Harris Upham & Co., Inc. CASE SUMMARY In a Statement of Claim filed with the NASD on August 25, 1988, and amended on March 5, 1990, Claimant Mary D. Jaka alleged that Respondent Smith Barney Karris Upham & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John R. Lewis Claimant ) vs. ) AWARD Smith Barney Harris Upham ) #88-02589 & Co., Inc. Respondent ) SUMMARY OP ISSUES This case was filed with the NASD on August 15, 1988- Claimant alleged that Respondent acted negligently in the handling of his account. Specifically, Claimant alleged that on October 16, 1987 he placed an order with his broker, employed b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) "Dsk^ ?£LL.rl£~b ) Award C1ain>ant(X) ) ) NASD No. vs. ) 1 TTC hJ j Ifvf. . ) Respondent^ C7 -, > _ ' c —. SUWARY OF ISSUES This case was filed 04 < -u ^ tV CC *(. t-'i^>- U.- V\ C). tv."^* t\J^Ut \t'fc( T ,1 tX —J » J -*• - C-j ^...X t-fCtLotVe ; ^Vt^J ». H_i- . M.-J T./V&..

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert D. Mattia, (Claimant) vs. Gold Country Securities, Inc., Pan American Bancorp., Service Asset Management Company, Insider Trading, and Charles Vaccarro, (Respondents) Case Number: 99-03386 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Robert D. Mattia, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, N

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter z- zne Arsitraticn Between Stanley & Sally :-:ayper, Trustees cr --e Stanley .. 5ally Mayper Trust Dated 7:21 ~? Ilaimar.ts AWARD vs. MASD =38-02919 ?rudential-3ache Securities Marvin Friedman Resoonaents REPRESENTATION Claimants were represented iy John S. Huiskamp, Esq. ?f Duke, Gerstel, Shearer & Bregante, San Diego, California. Respondent Prudential-Bache

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lenore T. Mancini Claimant vs. Blinder Robinson & Co., Inc. David A. Sabens Paul Roussell Respondents AWARD #88-02814 On January 22, 1990 and March 6, 1990 in three sessions in New York City the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant, Leonore T. Mancini

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Avelina Fernandez Claimant(s) vs. 88-01987 Larry Geller, Vanderbilt Securities, Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Avelina Fernandez alleged that Respondent(s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc. and Joseph Radcliffe fraudulently misrepr

NATIOHAL ASSOCIATION OF SECURIT": DEALERS, INC. In the Matter of Arbitration Between SIDNEY and NATALIE BUCKMAN : Claimants NASD No. 88-02530 v. THE ILLINOIS COMPANY Respondent CASE SUWARY In a claim filed with the KASD on August 10, 1988, Claimants Sidney and Natalie Buckman (Claimants) allege that a six hour delay in execution of an optir.r. trade, specifically in buying back 2 major market index Nov 4-5 puts at the days high on Oc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of Arbitration Between ) ) MARGUERITE ERRICO ) Claimant ) v. ) NASD NO. 88-02561 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about August 12, 1988, Claimant Marguerite Errico, ("Errico") alleged violations by Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. of Section 10(b) of the Securities Exchange

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elizabeth O'Connell Claimant ) ) vs . ) AWARD ) E.F. Hutton, Inc. ) Michael Schlegel Respondents ) CASE NO. 88-02636 _ ) SUMMARY OF ISSUES Claimant alleged Respondents breached their fiduciary duty co her by investing her funds in common stocks that were unsuitable for her financial condition, and that Respondents purchased securities fo