NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between/Among Michael D. Raymond Claimant vs. Individual's Securities, Ltd. Carl Lanzisera John Janiga and Gregory Zelko Respondents Case »89-00341 Award • CASE SUMMARY Claimant, Michael D. Raymond alleged that Respondent Gregory Zelko without authority purchased 3200 shares of Conversion Industries at, 1.6405 for Claimant's account. Claimant ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Manocher Rastgou Claimant(s) vs. 89-00334 Greystone Nash, Inc. and Christian A. Ribeiraud Respondent{s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Manocher Rastgou alleged that Respondent(s) Greystone Nash, Inc. and Christian A. Ribeiraud fraudulently misrepresented to Claimant material facts concerning Claimant's investment with Res

A/9.3 3.1 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between L. Claimant(x) vs. Slices / ) Award ) NASD No. S'j-00332 / SUMMARY OF ISSUES This case was filed on Mj'.ctlo -Ku, Mflsj f>, "?-u/wJ, fo /LocgaA-jLo. ^Sgp &jy /) f\JUL\ InUL* xi "T/L4 'tM. s^K c^Cd.fu»X» ; L.P. Au^g^K < LgyvQt^ /U vto A ^'J\ DAMAGES AND RELIEF REQUESTED tn hJLa n

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Jon, Sandra, Gregory & Cathy McClellan Robert & Barbara Hunter Claimants vs. McGinn, Smith & Co. Richard Denero Inc. Respondents Case 189-00327 AWARD CASE SUMMARY Claimants Robert M. and Barbara J. Hunter, John and Sandra McClellan, and Gregory and Cathy McClellan (collectively, the "Claimants") alleged that Respondent Richard T. Denero'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Kenneth B. Hutchinson Claimant ) ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondent ) CASE NO. 89-00326 SUWARY OF ISSUES This case was filed on February 6, 1989. Claimant alleged that Respondent placed him in unsuitable investments, namely certain common stocks, real estate and energy limited partnerships, and various put and call options.

NATIONAL ASSOCIATION OF SECURITIES DEALER 1 . INC. In the Matter of the Arbitration Between Wilfred W. Montenyohl Claimant Award vs. J.C. Bradford & Co. Gregory J. Mack 1 in Respondents Case* 89-00325 Case Sunmary In a claim filed with the National Association of Seem'ties Dealers, Inc. ("NASD") on June 20, 1989, Claimant. Wilfred W. Montenyohl '"Montenyohl") alleged the Respondents entered him into an investment in the Lanch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Oscar B. Hecklin x Claimant x x CASE NO. vs. x 89-00322 x Denton & Co., Inc., Joseph L. Bachman, Jr., x AWARD George Stalega and Joseph Giordano x x Respondents x . x CASE SUMMARY Claimant, Oscar B. Hecklin ("Hecklin"), asserted three claims in his Statement of Claim. In the first claim Hecklin alleged that Respondent Joseph L. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f CD Eugene D. Olcott, trustee, et al. 89-00320 Name of Respondentisi Prudential-Bache Securities Inc. Greg B. Wood Thomas 0. Bergen Raymond R. "Randy" Powell This claim was initiated by a statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about January 31, 1989 wherein Eugene 0. Olcott

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Herman MuHer AnneMarie Muller vs. Claimants Prudential-Bache Securities, Inc. Joseph E. Kehoe Wolcott Kenyon Respondents CASE #89-00316 AWARD CASE SUMMARY This proceeding was commenced initially on January 31, 1989 by Claimants Herman and AnneMarie Muller against Respondents Prudential-Bache Securities, Inc. ("Pru-Bache"), Joseph E. Kehoe ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thf nmm gnt rase Number 99-02567 Christian Briggs no Sitf.' Dallas, Texas All-Tech Investment Group, Inc.; and, David W. Thompson N ITR O 1 TlF Public Customer v. Member Firm and Associated Person PAR TFS Claimant Christian Briggs, hereinafter referred to as "Claimant": Appeared pro se, but was initially represented by several attorneys. R