NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gopesh K. Sharma Clalmant(a) vs. 89-01433 Dana Law Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gopesh K. Sharma alleged that Respondent(s) Dana Law placed Claimant's funds in an inappropriate investment.. Respondent (s) maintain that Claimant was aware of the nature of the investment. RELIEF REQUESTED Claimant(s) Gop

NASO Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert & Jane Near Name of Respondent ^ s ) E.F. Hutton & Company, Inc. Shearson Lehman Hutton, Inc. Michael Alioto 89-01430 National Association ot Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimants, Robert Near and Jayne Near were represented by: Lawrence S.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Enrique Uribe Claimant vs. Wellshire Securities, Inc. Respondent and Third-Party Claimant vs. Nicholas Ferrer Third-Party Respondent AWARD #89-01422 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on May 15, 1989 Claimant, Enrique Uribe, alleged that, Respondent, Wellshire Securities, Inc., deceived him, made false and incomplete disclosures and charge

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jean Pierre Renault Claimant(s) •va. 89-01418 The Stuart-James Co. and Xavier Poirier Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jean Pierre Renault alleged that Respondent(s) The Stuart-James Co. and Xavier Poirier made misrepresentations and an unauthorized trade. Respondent(s) maintain that Claimant suffered no damag

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Cowen & Co. Claimant vs. Case *89-01415 AWARD John Andrews Respondent CASE SUWARY This claim was commenced initially on May 15, 1989 by Claimants Cowen & Co. ("Cowen") against Respondent John Andrews ("Andrews") and arises out of a certain account held by Respondent from January 23, 1987 to August 11, 1987. Claimant asserts that on January 23, 1

ATIONAL ASSOCIATION OF SECURITIES DEALERS Iji the Matter of the Arbitration Between Randall E. Butcher vs. Claimant(s) 89-01412 Morunouth Investments and Neva Elliott Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Randall E. Butcher, alleged that Respondent(s) Monmouth Investments and Neva Elliott failed to execute an order. Respondent(s) did not defend. RELIEF REQUESTED Claimant(s) Randall E. Butcher

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Harry and Vicki Leblanc ) Claimants ) and ) A W A R 0 ) 89-01409 Shearson Lehman Hutton and ) Elroy F. Perrien ) Respondents ) CASE SUMMARY In a claim filed with the NASO on or about April 25, 1989, Claimants Harry and Vicki LeBlanc ("the LeBlancs") alleged that Respondents Elroy F. Perrien ("Perrien") and Shearson Lehman Hutton, Inc. ("She

NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Sylvia H. Foster Claimant(s) vs. 89-01403 Amerimutual Ccrp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sylvia H. Foster alleged that Respondent(s) Amerimutual Corp. made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Sylvia H. Foster requested damages of Two Thousand Dollars and No Cents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) FERDINAND D. SCHUPBACH. ) Claimant, ) ) Case 189-01402 vs. ) Award BARNETT BROKERAGE SERVICES, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: \ H. Steven Holtzman, Esq. Mr. Hal S. Holtsinger Mr. Joseph J. Haverty CASE SUMMARY This claim was filed with the NASD, Inc. on May 11, 1989. The hearing was conducted i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas M. Walsh, (Claimant) vs. Willard B. Saperston and Saperston Financial, Inc., (Respondents) Case Number: 99-02676 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Thomas M. Walsh, hereinafter referred to as "Claimant": Richard A. Joel, Esq., Joel & Joel, LLP, Oradell, NJ. Respondents, Willard B, Saperston ("Saperston") and Saperston Financial, Inc