NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herman and Alice Hille Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02356 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles Gould Respondents) CASE SUMMARY Claimant(s) Herman and Alice Hille alleged that Respondents) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles Gould mismanaged Claimants' account and disregarded their investment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John R. Sullivan, (Claimant) vs. First Montauk Securities Corp., First Montauk Financial Corp., Herbert Kurinsky, William J. Kurinsky, Norma L. Doxey, Ward R. Jones, Jr., David I. Portman, and Michael G, Pento, (Respondents) Case Number: 99-02803 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John R. Sullivan, hereinafter referred to as "Claimant": Steven

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Heim Claimant(s) vs. Putnam Financial Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02352 CASE SUMMARY Claimant(s) William J. Heim alleged that Respondent(s) Putnam Financial Services, Inc. failed to act upon his request to rectify an incorrect transfer of title. Respondents) maintain that the NASD lacks jurisdicti

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger B. Johnson Claimant(s) vs. 89-02351 Sherwood Capital, Inc. and Kirby Foray Respondent(s) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Roger B. Johnson alleged that Respondent(s) Sherwood Capital, Inc. and Kirby Foray used high pressure sales tactics to induce the purchase of securities which subsequently declined in value. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Curtis Beachum II Claimant AWARD vs. Fidelity Brokerage, Inc Anthony Messina Respondents 189-02349 CASE SUMMARY Claimant James Curtis Beachum, II (hereinafter "Claimant") alleged that Respondents Fidelity Brokerage, Inc. and Anthony Messina (hereinafter "Respondents") negligently handled Claimant's account held with Respondent and dela

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank and Patricia Candito Claimant(s) vs. 89-02344 Blinder, Robinson & Co., Inc. and Michael Alterman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank and Patricia Candito alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Michael Alterman made misrepresentations. Respondent(s) maintain that the Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis M. Casey Judith A. Casey Claimants vs. Investnet Corporation Respondent CASE #89-02343 AWARD CASE SUWARY This claim was initially commenced on August 21, 1989. Claimants alleged that Respondent Investnet Corporation failed to execute a limit order to sell 4000 shares of T.V.X. causing Claimants losses when they were forced to sell sto

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James McGinn . Claimant ) ) AWARD VS. ) ) NASD NO. 89-02338 Marshall Davis, Inc. ) Russell Dalbey Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 21, 1989. Claimant alleged lack of suitability and misrepresentation in the purchase of Las Vegas Resorts securities.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZPS In the Matter of the Arbitration Between Charles & Mary Brodsal and Marianne & Alfred Young CASE #89-02337 Graystone Nash/ Inc. Thomas Actoerly Kevin O'Riordan Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Public Arbitrator Janet C. Zwiebel Industry Arbitrator Andrew Bartfay Public Arbitrator This matter was initiated by a Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Mark A. & Pamela A. Sirianni 89-02335 Robert ShefUc In a claim filed with the National Association of Securities Dealers, Inc. ("NASD) on or about August 21, 1989, Mark A. and Pamela A. Sirianni ("Claimants") alleged that Robert Shefik ("Respondent") made material misrepresentations in connection with the purchase and sale of securities in their ac