NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ralph Glance Claimant vs. Robyna Capital Corporation Castleton-Rhodes, Inc. Hasan Growney Co., Inc. David Iglicki ) ) AWARD ) NASD #89-02710 ) Respondents SUMMARY OF ISSUES Claimant alleged Respondents Robyns Capital and David Iglicki made material misrepresentations of fact concerning Powertech and Northern Information Technolog

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Allan Wertheim Diane Wertheim vs. PaineWebber, Inc. Paul Katz Claimants ) ) AWARD ) NASD NO. 89-02709 Respondents SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 28, 19J9. Claimants alleged lack of suitability, breach of fiduciary duty* and misrepresentation in the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Cruttenden Roth Incorporated, (Claimant) vs. JosephthaJ & Co., Inc., (Respondent) vs. Scott Weisman (Third-Party Respondent) Case Number: 99-02841 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Cruttenden Roth Incorporated, hereinafter referred to as "Claimant". Jay L. rlimes, Esq., Paul, Weiss, Rifkind, Wharton & Garrison, New York, NY. Previously represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, inc. One East Sroward Boulevard Suite 1000 Ft. Uuderdale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between: Name of Name of Respondent^) CASE 189-02698 Dean Witter Reynolds. Inc. Robert Steinlauf and Richard Ten Evck Heard before the members of the Arbitration Panel: Casey W. Mills, Es

Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Canter 33 Whitehall Street New York, New York 10004 Joan Arndt vs 89-02697 Steven. Hanna For Claimant: Victor Msvorah, Esq. For Respondent: Thomas G. Anon, Esq. of Anon & Sabatini casg Statement of Claim filed: September 27, 1989. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In rJie Matter oz the ArDitration Between Frank C. Antonovich Eve Nichols Elsa, Richard J. and Dennis J. Bucoio 99-03694 89-02699 (Consolidated Case) 39-02704 snt^^ Batenan Eichler,Hill Richards, Inc. Melvin M. VUkcevich Heard before: Herman R. Friedberg, Esq. Public Ian L. Sitren Public Luther D. Prater Industry These matters were initiated by Statements of Claim

Arbitrati °" NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1680 In the Matter of the Arbitration Between Three First National Piaza Chicago, IL 60602 Mare of Claimants 81 (312) 899-«440 Chiaramonte Family Trust 89-02693 Name of Respondent fSJ Prudential-Bache Securities Inc. Wayne Mclntosh in a Statement of Claim filed with the NASD on or about September 27, 1989, Claimant Joseph Chiarmonte ("Chiarmonte") alleged that Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Donald Speakman Claimant v. AWARD #89-02689 Prudential Bache Securities, Inc. & Thomas Salierno Respondents CASE SUMMARY The Statement of Claim was filed with the NASU, Inc. on September 28, 1989. •* * Claimant, Donald Speakman alleged that Respondents Prudential Bache Securities, Inc. and Thomas Salierno committed fraud and breach of fiduciary duty in connection with C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Rudy Gonsalves Claimant ) AWARD vs. ) CASE #89-02680 Dennis w. Roneck and ) E.F. Hutton, Co., Inc. Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 25, 1989. Claimant alleged that in August 1987 he purchased 25,000 shares of Worlds of Wonder ("WOW") based on Respondents' re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Arthur & Helen Pabor ) Claimants & ) Counter-Respondents ) AWARD vs. ) ) NASD # 89-02679 Shearson Lehman Mutton, Inc. ) Charles D. Tom ) Respondents & ) Counter-Claimants ) SUMMARY OF ISSUES Claimants alleged fraud, breach of contract, churning negligence and breach of fiduciary duty under Federal Securities acts and the Washingt