NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Golda K. Hall Claimant(s) vs. 89-02487 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Fredric Gestin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Golda K. Hall alleged that Respondent(a) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Fredric Gestin failed to follow Claimant's instructions. Respondent(s) denied all alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dominic and Patricia Franchina Claimant(s) vs. 89-02485 Blinder, Robinson & Co., Inc. and John Sholtis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dominic and Patricia Franchina alleged that Respondent(s) Blinder, Robinson & Co., Inc. and John Sholtis did not make a suitability determination as to Claimants' investme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Larry Tremaine Claimant ) ) vs. ) AWARD ) Russell Dalbey, Jim Hamilton ) and James Williams Respondents ) CASE NO. 89-02484 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities, Dealers, Inc. ("NASD") on September 5, 1989. Claimant alleged that Respondent Russell Dalbey recommended Claimant's investment in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between x x Danot Enterprises, Inc., x Claimant, x x CASE NO. vs. x 89-02483 x Hambrecht & Quist, Inc., x AWARD Respondent, x x VS . X X Abraham Dan x Third-Party Respondent, x x CASE SUMMARY Claimant, Danot Enterprises, Inc. ("Danot"), alleged that Respondent Hambrecht & Quist, Inc. ("Hambrecht") effected numerous debt secur

N.A.S.D. AKMRD ASscdAncN OP SECDKTTIES DEALERS In the Matter of the Arbitration Between Name of V. ReO 89-02482 Name of James For Claimant; Sanford £. Kantor, Esq. of Kantor, York City. Respondent James Planing appeared pro se. stein, & Kantor in New Statement of Ha-im filed: September 6, 1589. Claimant's Submission Agreement signed on: August 28, 1989. Statement of Answer filed by Respondent James Fleming on: November 29, 19

_ Arbitration N.A.S.D. AWARD , Association of Securities Dealers. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza _ Chicago, IL 60602 In the Matter of the Arbitration Between < 3121 8 "- 4440 Lucille Janas Clatmant 89-02481 and Michael L. Schwartz Respondent In a Statement of Claim filed with the NASD on or about September 6, 1989, Claimant Lucille Janas ("Janas") alleged t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) SHARRYE J. TAYLOR ) Claimant ) Case No. 89-02479 and } PRUOENTIAL-BACHE SECURITIES, INC. ) ) Respondent ) CASE SUMMARY In a Statement of Claim filed with the NASD on or about September 6, 1989, Claimant Sharrye J. Taylor ("Taylor") alleged that Respondent Prudential-Bache Securities, Inc. (" Prudent ial-Bache") sold Taylor unregistered s

yv/xso Arbitration M.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Attootatlon of Saeurftlat Oaaiara, tnc, NASD Financial Cantor 33 Whitehall Siraat Naw York, Naw York 10004 Edward Mxizelswski vs. First Jersey Securittes f Inc. Sherwood Securities Corp. Shervrood Group Inc. Sherwood Capital j.T. ttsran and Co., Inc. J.T. Moran Financial Corp. W

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02807 Donald Wayne Torres-Schroeder, claimant vs. First Investors Corporation, respondent. ATTORNEYS: Claimant, Donald Wayne Torres-Schroeder, ("Claimant"), appeared Pro Se., Los Angeles, CA. Respondent, First Investors Corporation, ("Respondent"), appeared Ronald J. Roller!, Esq. New York, NY. DATE FILED: June 21, 1999 CASE SUMMARY: Claimant alleged that Respondent breach its fidu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Ruzicka Claimant(s) vs. 89-02474 Profile Investments Corp. and Hank Ross Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Ruzicka alleged that Respondent(s) Profile Investments Corp. and Hank Ross made misrepresentations. Respondent Hank Ross maintains that the Claimant held all of his stock certificates and