NATIONAL ASSOCIATION OF SECURITIES DEALERS In the. Matter of the Arbitration Between Harry Berry, Jr. Claimant(s) vs. 89-03093 Tucker Anthony, Inc. Respondent (s.) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Harry Berry, Jr. alleged that Respondent(s) Tucker Anthony, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED «•

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dee R. Geddes individually and custodian for Brent and Alan Geddes Claimant(s) vs. 89-03091 First Security Discount Brokerage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dee R. Geddes individually and custodian for Brent and Alan Geddes alleged that Respondent(s) First Security Discount Brokerage improperly liquidate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dyrel w. Collins 89-03087 AMI Securities Inc. Barton Davis willard E. May In a claim filed with the National Association of Securities Dealers ,„ Inc. ("NASD") on or about Novaifcer l, 1989, Dyrel W. Collins ("Claimant") alleged that AMI Securities Inc., Barton Davis, Willard E. May, The Trust Company of America, and American Casualty and Suret

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald and Elaine Van Kuiken Claimant!s) vs. 89-03082 Power Securities, Ltd., Mark Edward Loat3 and Jeffrey Brown Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Gerald and Elaine Van Kuiken alleged that Respondent {s) Power Securities, Ltd., Mark Edward Loats and Jeffrey Brown made misrepresentations and recommended un

A6OSO H.A.Q.D. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitral .ion Between National Association of Stturitit* Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Isiderio Sanchez vs 89-03077 wall street Clearing Co. Financial Clearing & Services Corp. Sam J. Piccione Lizanne Geitner Newbridge Securities, Inc. Heard before the members of the Arbitra

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Arthur J. Gaio Claimant(s) vs. 89-03076 Easter Kramer Group Securities, Inc. and Angelo DaBiero Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Arthur J. Gaio alleged that Respondent(s) Easter Kramer Group Securities, Inc. and Angelo DaBiero made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Cla

Arbitration National Association of Secunties Dealers, Inc. 425 California St.. flm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants] Stanley K. s, Elizabeth A. Morris 89-03074 E.F. Hutton & Company, ~nc .• Shearson Lehman Hutton, Inc., successor Ernest R. Dewey StMPVRT OF ISSUES This ca

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Jeffrey Buckman vs. Case No. 99-02906 Name of Respondent Sean P. McManus REPRESENTATION OF PARTIES Claimant, Jeffrey Buckman, hereinafter referred to as "Claimant": Anthony J. Horn, Esq., Attorney at Law, New York, New York Respondent, Sean P. McManus, hereinafter referred to as "Respondent" did not appear. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Smith, an individual, and Joan Smith Trustee for the Mary Duke Smith Trust No. 89-03071 Name of Respondents Shearson Lehman/American Express. Inc. REPRESENTATION OF PARTIES For Claimants: Seth Lipner, Esq. and Herbert Deutsch, Esq., of Deutsch & Lipner, Garden City, New York. For Respondents: Thomas M. Knepper. Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ELEANOR WEISS, et al, Claimants Case# 89-03070 vs. AWARD P.M. STEVENS SECURITIES CORP. and FRANK M. STEVENS Respondents CASE SUMMARY Claimants Eleanor Weiss, Beneficiary, Peter B. Weiss. Carol Bauman, Settlor Barry Weiss, Peter B. Weiss and Joseph Russo, trustee ("Claimants") alleged that Respondents, E.M Stevens Securities, Corp. and Frank M. Steve