NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rudy Sampieri c/f Carl Sampieri, Claimant vs. M.H. Meyerson & Co., and Ralph Incantalupo, ) Respondents ) ) Case #89-01474 Award CASE SUMMARY Claiman-t, Rudy Sampieri c/f Carl Sampieri, allegecrthat Respondent, Ralph Incantalupo. \»*«LLII MientiU L'lii 'jluii. First Provident Group, for which his firm was allegedly a Market Maker and enc

NATIONAL ASSOCIATION OF SECURITIES 1'EALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Alan R. Naftalis Claimant vs. E.F. Hutton d/b/a Shearson Lehman Hutton and Ephraim Yurowitz Respondents Case #89-01470 AWARD CASE SUMMARY Claimant Alan R. Naftalis ("Claimant") alleged tfiat* Respondent Ephraim Yurowitz ("Yurowitz"), an employee of Respondent E.F. Hutton ("Hutton"), repeatedly recommended stock of companies that had not bee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Moscatello Claimant(s) vs. 89-01469 Monmouth Investments/Gaines & Noble, David Haber and Jack Mondel Respondent(s) NOTICE OP ARBITRATION AWARD THIS NOTICE OP ARBITRATION AWARD SUPERCEDES THE NOTICE OP ARBITRATION AWARD DATED AUGUST 21, 1989 CASE SUMMARY Claimant (s) Richard Moscatello alleged that Respondents) Monmouth Investments/

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank and Bridget Blainey Claimant(s) vs. 89-01467 Equitable Securities of New York Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant (s) Frank and Bridget Blainey alleged that Respondents) Equitable Securities of New York made unauthorized transactions. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Frank an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among * The Fahey Banking Company Martin Hughes, III and * Carl Hughes Claimants * Case £89-01465 Award vs Shearson Lehman Mutton, Inc. * Stephen Schott Glenn Fallen Respondents CASE SUMMARY Claimants, The Fahey Banking Company ("Fahey"), Carl Hughes and Martin Hughes, III, alleged that Respondents Shearson Lehman Hutton, Inc., Steph

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allen Rosenblum vs. Claimant(a) 89-01452 Wall Street Clearing Co. and Thomas D'Auria Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) Allen Rosenblum alleged that Respondent(s) Wall Street Clearing Co. and Thomas D'Auria failed to execute a sell order as requested by Claimant and did not provide stock certificates requested o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott Diamond Claimant(a) vs. 89-01451 Thomas D'Auria Respondent(8) NOTICE OF APBITRATION AWARD CASE SUMMARY Claimant(s) Scott Diamond alleged that Respondent(a) Thomas D'Auria engaged in unauthorized trading in Claimant's account. Respondent(s) denied all allegations by Claimant. RELIEF REQUESTED Claimant(s) Scott Diamond requested damages of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL F. LITTLE, INDIVIDUALLY ) AND AS TRUSTEE, } ) Claimant ) and ) ) CASE NO. 89-01446 ) DREXEL BURNHAM LAMBERT INCORPORATED, ) ) Respondent ) CASE SUMMARY Michael F. Little ("Claimant"), individually and as Trustee of the John Pat Little, Jr. and Michael F. Little Usufructuary Trusts and as successor to the Marjorie A. L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02682 Olde Discount Corporation, claimant vs. Frank J. Fortuso, respondent. ATTORNEYS: For Claimant Olde Discount Corporation, ("Claimant"), Aaron L. Kleid, Esq. in-house counsel for Olde Discount Corporation. Detroit, ML Respondent, Frank J. Fortuso did not submit an answer to Claimant's Statement of Claim. DATE FILED: June 11, 1999 CASE SUMMARY: Claimant

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John and Margaret Powers Claimant(s) vs. 89-01442 Gary Keller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John and Margaret Powers alleged that Respondent(s) Gary Keller changed Claimants' account to a margin account without Claimants' knowledge and executed unauthorized transactions. Respondent(s) maintain that Claimant