N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth L. Colquitt 89-02987 Shearson Lehman Hutton, Inc. Drexel Burnham Lambert, Inc. Leigh Burch, III Claimant Kenneth Colquitt was represented by Fredrick H. Thcraforde, Jr., Esq. of Morton, Thonforde and Marten, Knoxville, Tennessee. Respondent Shearson Lehman Hutton, Inc. was represented by Therese Cbringer, Esq. of Neal Gerber & Elsenberg

NATIONAL ASSOCIATION OP SECURITIES DEALERS T S ^^™^""™ 1 ™™"™"^™ 1 "^"" In the Matter of the Arbitration Between Clara Mateo Claimant(s) vs. 89-02984 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Clara Mateo alleged that Respondent(s) Wall Street Clearing Co. committed unauthorized trading Claimant's account held with Respondent. Respondent denies Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph and Ethel Rubulotta Claimants vs. #89-02982 PaineWebber, Inc. Timothy M. Pastorino Respondents CASE SUMMARY Claimants alleged that Respondents misrepresented the suitability of a common stock called Shayna International Industries which Claimants bought that later created losses in their accounts. Claimants further alleged that the broker

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Rick E. DeGeorge vs. Case No. 99-02862 Name of Respondents Janney Montgomery Scott, Inc. Eugene E. Peroni, Jr. Michael R. Richardson REPRESENTATION OF PARTIES Claimant, Rick E. DeGeorge, hereinafter referred to as "Claimant": Steven R. Blair, Esq., Lancaster, Pennsylvania Respondents, Janney Montgomery Scott, Inc. ("IMS"), Eugene E. Peroni,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Panagiotis Petrochilos Claimant vs. AWARD #89-02979 Paul Pantazakos Respondent Case Summary Claimant Panagiotis Petrochilos sued the Respondent Paul Pantazakos for damages sustained as a result of his alleged misrepresentations. The Respondent denied the allegations and counterclaimed for personal out-of- pocket loss that he attributed to the Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vincent D. Lastella Claimant(s) vs. Monmouth Investments, Inc. and Richard DeRose Respondent(s) NOTICE OF ARBITRATION AWARD 89-02978 CASE SUMMARY Claimant(s) Vincent D. Lastella alleged that Respondent(s) Monmouth Investments, Inc. and Richard DeRose misrepresented material facts as to Claimant's investment with Respondent. Respondent Richard

N.A.S.D. AMAED NATICNRL ASSOCIATION OF SECQRITTES DEAIfXS la. the Matter cf the Arbitration Between Name of Claimant (s) Timothy R. M-yjmgM-trt 89-02975 Mama of Ragpcodert (s) Richard T. Fisher For Claimant: Timothy R. MuffjHighUt* ("Mnrju^iHn") vas i nn'Minntm! by Mbttbew D. Mangbini, Esq. of Bosch & ^I'^ff^ij*' 1 , located in St. Louis, Missouri. For Respondent: Richard T. Fisher ("Fisher-) was repreemtad by David Well», Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between. Melvin Asch Doris Asch vs. Dean Witter Reynolds, Inc Steven L. Fusco Robert C. Honey Claimants AWARD NASD MO. 89-02969 Respondents SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 23, 1989. Claimants alleged: lack of suitability and unauthorized trading in the purcha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kirk H. Lindgren 89-02966 PaineWabber, Inc. and B. Thomas Hoffman Case Suranazy Kirk H. Lindgren ("Claimant") alledged that B. Thomas Hoffman, a registered representative of PaineWebber, inc. (Hoffman and PaineWebber are collectively referred to herein as "Respondents") churned his account. Claimant also alledged that the respondents violat

HATIOMAL ASSOCIATION OF SECURITIES DEALERS. TNC. T In the Matter of the Arbitration Among Rajinder Bhatia and Neena Grewal Claimants vs. Case #89-02965 Award Prudential-Bache Securities, Inc. and Edward Puttick Respondents CASE SUMMARY Claimants, Rajinder Bhatia and Neena Grewal, alleged Respondent, Edward Puttick, recommended and purchased three (3) investments in MFS Government Securities High Yield Trust, Fox Capital Corporati