NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Randy Howard Claimant vs. F.D. Roberts, Inc. Kathleen S. Lewis Respondents AWARD #89-00445 Case Summary Claimant Randy Howard claims against Respondents F.D. Roberts Securities, Inc. and Kathleen S. Lewis arise from the offer and sale of several securities during 1987 and 1988. Claimant alleged that the Respondents made false and deceptive stateme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Dominic and Jennie Benedis ) Claimants " ) and ) A W A R D ) 89-00444 R.L. Kotrozo, Inc. and ) Sam Giallanza ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about February 13, 1989, Claimants Dominic and Jennie Benedis ("the Benedis'") alleged that Respondents Sam Giallanza ("Giallanza") and R.L. Kotrozo, Inc. ("Kotrozo")

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anton D. and Esther L. Kline Claimant(s) vs. Prudential-Bache Securities, Inc. and Dean Lonseth Respondent(s) NOTICE OF ARBITRATION AWARD 89-00443 CASE SUMMARY Claimant(s) Anton D. and Esther L. Kline alleged that Respondent(s) Prudential-Bache Securities, Inc. and Dean Lonseth made misrepresentations. Respondent(s) maintain that the Claimants wer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Rade Sekulovski, Cveta Sekulovska, x Vera Sekulov and Ljupco Sekulovski x x Claimants x x CASE NO. VS. X 89-00440 X Merrill Lynch, Pierce, Fenner & Smith, Inc., x AWARD John B. Glancy and David E. Miazgowicz x x Respondents x x CASE SUMMARY Claimants, Rade Sekulovski ("Rade"), Cveta Sekulovska, Vera Sekulov ("Vera"), and Ljup

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02579 Taylor Stuart Financial, claimant vs. Lev Hibernian, respondent. ATTORNEYS: For Claimant Taylor Stuart Financial, ("Claimant"), Stephanie Rosenblatt, Esq. and Aegis J. Frumento, Esq. of the firm Singer Frumento LLP, New York, NY. For Respondent Lev Biberman, ("Respondent"), Lev Biberman did not respond to Claimant's Statement of Claim. DATE FILED: Ju

NATIONAL ASSOCIATION OP SECURITIES DEALEHS, INC. la the Matter of the Arbitration Between ) ) SALLY S US SHAN, ) Claimant, ) ) Cast 189-00432 vs - } Award ) DEAN VITTER REYNOLDS and ) DAVID E. JELONEK, , ) Respondents. ) Htard before the member • of the Arbitration Panel » Alexander Eltman, Esq. Judy Avey Leslie Bishop CASE SUMttftY This claim was filed with tht NASD, Inc. on February 13, 1989. Th« hearing was conduct

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Fortuna Claimant(s) vs. 89-00431 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert S. Fortuna alleged that Respondent(a) Blinder/ Robinson & Co., Inc. made misrepresentations. Respondent (s) maintain that Claimant's losses, if any, were not caused or contributed to by Blinder, Robinso

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NarjaQfClainiant-fs) Walter Brent & Wondia Clark National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-444O 89-00430 I i Shearson Lehman Hutton, Inc. Carlos Villanueva CftSB SMART in a claim filed with the National Association qf Securities- Oeale

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Albert J. Serrero AWARD Claimant 189-00427 vs. Robert Thomas Securities, Inc. Raymond James & Associates Forrest C. Woods, Jr. Respondents In the Matter of the Arbitration Between Don Walker AWARD Claimant #89-00800 vs. Robert Thomas Securities, Inc. Raymond James it Associatss Forrest t. Woods, Jr. Respondents In the Matter of the Arb

NATIONAL ASSOCIATION OF SECURITIES DEALERS T.n the Matter of the Arbitration Between Bruce P. Homoya vs. Claimant(s) 89-00426 Blinder, Robinson & Co., Inc., Meyer Blinder and James Mahoney Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bruce P. Homoya alleged that Respondent(s) Blinder, Robinson & Co., Inc., Meyer Blinder and James Mahoney committed unauthorized trades in Claimant account held with Respond