STIPULATED AWARD NASD In the Matter of the Arbitration Between Names of Claimants Case Number: 99-02763 Karen and Paul Pucci Names of Respondents Hearing Site: Tampa, FL Josephthal & Co., Inc. Wayne Hemans REPRESENTATION OF PARTIES For Karen and Paul Pucci, hereinafter referred to as "Claimants": Jeffrey D. Erez, Esq. of Sonn & Associates, P.A., Ft. Lauderdale, FL. For Respondents Josephthal & Co., Inc. ("Josephthal") and Wayne Hemans ("

N.A.S.D. AWARD NATURAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant f s \ Ronald J. ftmdigel and Dorothy W. Mundigel 89-02230 (fame of Respondent fs] Lewis Cams, Roy L. Harkins ard Shearson Lehman Button, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about August 7, 1989, Ronald J. and Dorothy W. Mundigel ("Claimants") alleged that Lewis Cams,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the. Arbitration Between/Among Mark Stern vs. Claimant Donrinick & Dominick, Inc. Respondent Case #89-02228 AWARD CASE SUWARY This claim was filed on August 4, 1989. Claimant, Mark Stern, alleges that Respondent, Dominick & Dominick, Inc., failed to process and book the execution of two orders and that this failure resulted in the liquidation at a loss of a purchase wh

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Kathren Efroyra Claimant(s) vs. 89-02224 Stuart McClure and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathren Efroym alleged that Respondent(s) Stuart McClure and Blinder, Robinson & Co., Inc. inflated Claimant's income and net worth on customer account records in order to create the a

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Leland S., liana R. and Julie I. Shapiro Claimant(s) vs. 89-02217 Cowles, Sabol & Co., Inc., William L. Sabol, and Alan Stockhamer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Leland S., liana R. and Julie I. Shapiro alleged that Respondent(s) Cowles, Sabol & Co., Inc., William L. Sabol, and Alan Stockhamer mishan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Arviv Corp. Name of Shearson Lehman Hut ton, inc. John Potesta Case No. 89-02215 Heard before the matters of the Arbitration Panel): Robert Herschmann, Esq. Richard M. Kowalske Frank J. JfcConnack CASE SUM4ARY This claim was filed with the National Association of Securities, Inc. (NASD) on August 7', 1989. The hearing was conducted in Fort Lauderdal

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between BSI Holdings, Inc. Claimant (s) vs. 89-02214 Car-Life Transmissions Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) BSI Holdings, Inc. alleged that Respondent(s) Car-Life Transmissions stopped payment on checks and gave no valid reason. Respondent did not defend. RELIEF REQUESTED Claimant (s) BSI Holdings, Inc. requested

NASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National AMoctation of Stturttla* OMian, inc. One East Broward Boulevard Suite 1000 Ft. Laudardale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between ) ) ) ) ) ) Gladys Kays A.G. Edwards & Sons/ Inc. CASE #89-02213 Heard before the members of the Arbitration Panel: Allan J. Fedor, Esq. Mr. Harold M. May M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Josephine and Fillipo Ciaramitaro Claimant(s) vs 89-02212 Stuart-James Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Josephine and Fillipo Ciaramitaro alleged that Respondents} Stuart-James Co. made misrepresentations and were negligent. Respondent maintains that there was no breach of fiduciary duty and no violatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOANNE E. KRUIDENIER ) Claimant ) and ) ) CASE NO. 89-02207 PAINEWEBBER, INC. AND ) MICHAEL HOFKIN ) ) Respondents ) CASE SUMMARY Joanne E. Kruidenier ("Claimant") alleged that Michael Hofkin, a registered representative of PaineWebber, Inc. (Hofkin and PaineWebber are collectively referred to herein as "Respondent") made an unauthor