NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the .Matter of the Arbitration Between SHELDON AND LOIS FLATEMAN CONSENT AWARD CLAIMANTS V. 189-02744 P.B. JAMESON CO., INC. AND RUSSELL HADEN RESPONDENTS AWARD - - The undersigned, being the arbitrators selected to review and determine the matter in controversy between the Parties as set forth in submissions to arbitration signed by Claimants Sheldon and Lois Flateman on Novemb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Baruch Coleman, (Claimant) vs. Metropolitan Life Insurance Company, Robert Franke, Monroe Aboyoun, Martin Marino and Robert Becker, (Respondents) Case Number: 99-02849 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Baruch Coleman, hereinafter referred to as "Claimant", appeared pro se. Respondents, Metropolitan Life Insurance Company ("MetLife"), Robert F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen Weiss and Dorothy Perelman 89-02738 Name of Prudential-Bache Securities Inc. Mark Vavruska Vincent Ruma John Arango Claimants, Eileen Weiss and Dorothy Perelman, alleged that Respondents, Prudential-Bache Securities, Inc. ("Pru-Bache"), Mark Vavruska ("Vavruska"), Vincent Ruma ("Runa"), and John Arango ("Arango"), made misrepresentat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between j" ) Name pf_CLflJinBn't(Sl ) ) Lynn & Catherine Corpnan ) ) ) CASE #89-02737 ) ttone^Q^^^BoondfinkisA ) ) Prudential-Bache Securities Inc. ) Walter 0. Barren, Jr. ) Heard before the members of the Arbitration Panel: James R. Kennedy, Jr., Esq. Public Herbert L. Blume Public Allison Hardage Industry CASE SUMMARY

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret Ma Tarn 89-02733 Name of Batanan Eichler, Hill Richards , Inc . Marc Vraciu This case was filed with the National Association of Securities Dealers, Inc. ("NftSD") on November 3, 1989. Claimant Margaret Ma Tarn (Ma Tarn) alleges that Respondent Marc Vraciu while employed with by Respondent Bateman Eichler, Hill Richards, inc. placed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Susan Wilson ) Claimant ) ) AWARD vs. ) ) NASD #89-02730 Shearson Lehman Hutton, Inc. ) Richard King ) Gerry Lukenas ) Richard Cushman ) Respondents ) ) SUMMARY OF ISSUES Claimant alleged breach of fiduciary duty, failure to disclose the risks of margin trading, suitability and fraud by all Respondents in connection with

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. »»^~w»i*M«»«»«»a»w*»M«MMWw4» M , WW w«p«. w _ M __ w ^ MA _ 4WWl _ WWM , WM , In the.. Matter-of_.thfi Arbitration Batween- Paul Riviere Bonnie Riviere vs. Claimants CASE* 89-02728 Charles Schwab & Company, Inc. ~ Monroouth- Investments ,_inc.- Securities Settlement Corporation Wall Street Clearing Company John T. Moyl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark D. McWilliams Claimant(s) V8 . 89-02721 Graystone Nash, Inc. Ed Ellis Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Mark D. McWilliams alleged that Respondent(a) Graystone Nash, Inc. and Ed Ellis made misrepresentations. Respondent(s) maintains that the Claimant is a disgruntled customer who is unhappy that he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant;(s^ Robert A. Chillemi 89-02714 vs. Name of Respondent(s) Wall Street Clearing Co. Michael Morfit CASE SUMMARY Claimant alleges that unauthorized purchases were made of $24,000.00 of stock. Respondent Wall Street Clearing contends that if the trade was authorized then Claimant should pay for the trade and if the tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between i ) Peter Musto and Judith Musto Hachman, Trustees Claimants ) ) AWARD vs. ; ) NASD *S9-02711 Dean Witter Reynolds, Inc., ) Robert Granigen and ) Charles Cabrera ) Respondents ) SUHH&RJ j?g ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 28, 1989. Claimants are the surviv