NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Raphael Cubisino Claimant(s) vs. 89-01401 Monmouth Investments, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Raphael Cubisino alleged that Respondent(s) Monmouth Investments, Inc. failed to execute a sell order at the price quoted. Additionally, Raphael Cubisino alleged that Respondent Monmouth Investments, Inc. exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SBJLUU.'i'.UA> DEALERS In the Matter of the Arbitration Between Nans of John A. John D. Miosi Peter Yuhas, Jr. Carmine V. Pardi 39-01880 consolidated with Name of Restxytent (e) First Investors Corporation Jay T. Stainsby a«amBa For Claimants: Charles C. Swanekanp, Esq. of Saperston & Day in Buffalo, New York and Richard Clack, Esq. of Casey, SanrlvE, Jones, Anigcoa & Kelleher in Buf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert Needham ) Claimant ) ) AWARD vs. ) ) NASD NO. 89-01398 PaineWebber, Inc. ) Heidi Rosenbaum ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 12, 1989. Claimant alleged lack of suitability in the trading of options in his account. -* * Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack H. Chabot The Jack H. Chabot Corporation CASE #89-01396 Name of Respondents Prudential Bache Securities, Inc. Richard W. Johnson REPRESENTATION For Claimants: Gary D. Greenwald Esq. and John E. Haller, Esq. of the law firm of Schrim & Greenwald. For Respondent: Prudential Bache Securities, Inc. was represented

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. J In the Matter of the Arbitration Between ) ) PaineWebber, Inc. Claimant/ ) Counter- ) Respondent ) vs. ) AWARD ) Thomas Mull ins Respondent/ ) CASE NO. 89-01391 Counter- ) Claimant ) : j SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 11, 1989. Claimant/Counterrespondent alleged that Respondent/Counterclaiman

N.A.S.P. AWARD Nitiontt AuocvOon NATICNAti ASSOCianCN OF SECUK1TUKS DEALERS SecuritiM OMMr* In NASO Financmi Cemei In the Matter of the Arbitration Between -3 Whitena* Strew 'Jew Vortc. N.Y. 10004 Ifame of Claimant -AX (2121858-4389 Wendy rofruan, M.D. 89-01390 Name of Respcmrimts Robert A. Samoa Eddie A. Miller Robert Blatt Jerry Tarulli For Claimant Wendy CohPn. ("Claimant"): Arthur P. Fisch, a sole practitioner."* For

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Robert J. Hunt, ) Claimant ) Case #89-01388 vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) and Rosalie Fields, ) Respondents ) CASE SUMMARY Claimant alleges that ROSALIE FIELDS, a Financial Consultant with Merrill Lynch, Pierce, Fenner and Smith, Inc., misrepresented the yields on three Corporate Bond Funds: High Income Portfolio, High

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeff Stollman Claimant(s) vs. 89-01386 Graystone Nash, Inc. and Barry Bruaer Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeff Stollman alleged that Respondent(s) Graystone Nash, Inc. and Barry Bruner made unauthorized trades. Respondent Graystone Nash, Inc. maintains that the Claimant is a disgruntled customer and co

A y _a **• ynr-i Arbitration — • * ' - • — • - - - — National Association of SvcuntiM Oaatera, inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" of Lewis J. Obi, M.D., & Bet Obi 89-01383 Name of Restxandent(s) Shearson Lehman American Express, Inc. This case was filed with the Nat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CASANDRA K. MCCDRD, Claimant, vs. IRI SECURITIES CORP., ROBERT A. MAAS, JOSEPH R. MCCARTY and KEITH A. LOVELAND, Respondents. Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Mr. Harry Polansky Mr. Samson Silberman Case !89-0137t Award CASE SUMMARY This claim was filed with the NASD, Inc. on May 9. 1989. The hearin