NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bobby Jew Claimant vs. Wakefield Financial Corporation Wall Street Clearing Company Alexander Minella Parsons Eng Respondents Michael Carber and Terry Akers AWARD #89-02114 Case Summary ' Claimant Bobby Jew alleged that Respondents Wakefield Financial Corporation, Wall Street Clearing Company, Alexander Minella, Parsons Eng and Michael Car

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HELEN WEILE, ) Claimant. ) ) Case #89-02113 vs. ) Award PRUDENTIAL-BACHE SECURITIES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Ron Pekoe Mr. Joseph J. Haverty CASE SUMMARY This claim was filed with the NASD. Inc. on July 25, 1989. The hearing was conducted in Tampa, Florida on July 20

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between David M. Gattegno VS. Claimant Shearson Lehman Mutton, Inc. Charles R. Perlwitz Respondents CASE #89-02111 AWARD CASE SUWARY Claimant, Daniel M. Gattegno, alleges that he informed Respondents, Shearson Lehman Mutton, Inc. and Charles R. Perlwitz, that he wanted to invest in Treasury Bond and that Respondent convinced him to invest in Ginnie Mae's

I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of "the Arbitration Between Zev Oman CLAIMANT and " Merrill Lynch, Pierce Fenner & Smith Inc. and t '•'• James Akins RESPONDENTS . ~£p i - IQ ~ In a claim filed with the NASD on or about July 25, 1989, Claimant~Zev Onan ("Claimant") alleged that Respondent Merrill Lynch, Pierce Fenner & Smith Inc. ("Merrill") and Respondent Janes Akins ("Aki

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allen Steinberg r- 99-02732 ; nf the Bernice Levine Lerner; Brian Scanlon; Suzanne D. Scanlon, d/b/a Dansue Associates; Jeffrey Gray; Peter Carrao; Shane Ferras; Stephen Palumbo; John Bosco; Joseph J. Tuozzo; The Harriman Group, Inc., fk/a HGI, Inc.; and Mark Arthur Hanna Hearing Site: Indianapolis, Indiana RFPPT7SFNTATT01V PAPTTFS Claimant

MAY 08 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Ponds, Jr. Claimant vs. Smith Barney, Harris, Upham & Co., Inc. Timothy K. Saint-Maxen Respondents AWARD #89-02104 Case Summary Claimant Richard J. Ponds, Jr. alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. and Timothy K. Saint-Maxen placed his account into illiquid limited partnerships and that these limite

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wilma J. Miller Claimant(s) vs. 89-02102 Dean Witter Reynolds/ Inc./ Anthony P. Fcwkes, and Timothy Callahan Respondent(s) HOTICB OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Wilma J. Miller alleged that Respondent (s) Dean Witter Reynolds, Inc., Anthony P. Fowkes, and Timothy Callahan failed to execute a sell order. Respondent(s) mainta

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) SANDRA K. MARSHALL and WILLIAM B. MARSHALL ) Claimants ) NASD No. 89-02099 and ) ) DRBZELr BURNHAM, LAMBERT, INC. ) A.6. EDWARDS & SONS, INC. and STEPHEN MATZA ) Respondents ) ) REPRESENTATION OF PARTIES Sandra K. Marshall and William B. Marshall were represented by Firmin A. Puricelli, Esq. Schumaier, Sluggett, Wesael & Puric

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Philip E. and Theresa M. Martin Claimant(s) vs. 89-02093 Shearson Lehman Hutton, Inc. and Harry Ingram Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Philip E. and Theresa M. Martin alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Harry Ingram committed an unauthorized trade with respect to Claimants' account

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Herbert S. Cooper JTWROS CASE 189-02088 Mary E. Cooper AWARD Claimants vs. A1 Celente Respondent CASE SUMMARY Claimants, Herbert S. Cooper and Mary E. Cooper, thru their sor^Neal Cooper, who handled their account,alleged that Respondent^Al Celente and his firm failed to live up to their verbal statements and printed ideals when Al Celente sold them Penn