Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yasmin M. Horvath, Claimant vs. GS2 Securities, Inc., The Ziegler Companies, Inc., Glaisner, Schilffarth, Grande & Schnoll, LTD., B.C. Ziegler & Company, Collopy & Company, Inc., Richard A. Schilffarth, Sr., Richard J. Glaisner, Peter D. Ziegler, Howard M, Schnoll, Donald I. Grande, Glenn N. Bruck, Raymond C. Krieg, Charles S. O'Meara, Dennis A. Wallestad, Maureen B. Oster, James

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; » I t Russi T. & Ava T. Suntoke, ; » Claimants ; CASE* 90-03465 i vs. AWARD Adam Kenneth Stern Respondent CASE SUMMARY Pro Se Claimants Russi T. and Ava T. Suntoke, in a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1990, alleged that because of false information provided to them by Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter ^f the Arbitration Between Patricia Lunn NO, 90-03463 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Philip Poster OF BURTEBS For Claimant: Peter King, Bsq. of Canal, Davis & King. For Respondents: Peter Cant well, Bsq. of Cantwell and Cantwell Statement of Claim filed: on or about December 5, 1990. Claimant's Submission Agreement signed on: December

N.A.S.D. AWARD NKTICHAI* ASSOCIATION OF SECURITIES maT,Rpe! In the Matter of the Arbitration. Between Earnest W. Dean, Jr., Esq. 90-03459 Name of Respondenta Pnlnrttetber, Doc. David A. KaJJozt For Claimant: Earnest W. Dean, Jr. represented himself. For Respondents: Joseph A. Vallo, Esq., Divisional Vice President, PaineWebber, Lac. Statement of Halm filed: December 7, 1990. Earnest W. Dean, Jr., 's ("CLaiaant") Submission Agreenent sign

N.A.S.D. NKTICNRL ASSOCIATION OF SECURITIES DEftUSRS Tn the Matter of "the 'Arbitration Between ) Gloria Berkowitz ) ) ) Case No: 90-03457 ) f OTRA Clearing, Inc. ) John Whitesides ) William Saydein ) Robert Cohen ) Nanette Gordon ) Heard before the members of the Arbitration Panel: Michael R. Casey, Esq. Public Bradley S. Bailey, Esq. Public Douglas Oelancy, Jr. Industry Claimant, Gloria Berkowitz ("Berkowitz"), was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03456 AWARD In the Matter of the Arbitration Between Barbara M. Vay Claimant vs. Oppenheimer & Co., Inc. Respondent CASE SUMMARY Barbara M. Vay, in a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, alleged that Respondent, Oppenheimer & Co., Inc., was negligent in supervising her account and recommended unsuitable, high-risk investmen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene Michael Streckfus TTEE Claimant vs. IDS Financial Services Respondent Case #90-03450 AWARD CASE SUMMARY Eugene Michael Streckfus, TTEE» in- a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, alleged that Respondent failed to timely transfer funds from his deceased Mother's IDS Tax Exempt Fund as o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between frtgme of Claimant- -^ — Frank Amato_ 90-03445 Otra Clearing, Inc. J.F. Lowe & Company KKfHKS-KNTATUgl For Claimant: Don Plaus was designated by the Claimant at the hearing as his representative. For Respondent Otra Clearing, Inc. ("Otra"): Scott Jtonson, Esq., in house counsel. For Respondent J. F. Lowe & Co. ("Lowe"}: no attor

Arbitration N.A.S.D. AWARD NKTICNMi ASSOCiaHQT OF SEGDRITTES DEALERS In the Matter of the Arbitration Between its James W. Beshaw Michelle Beshaw vs. Kidder, Peabody & Co. , Incorporated Henry H. National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New Ybrfc. N.Y. 10004 FAX (212) 853-4389 Cue # 90-03442 For Claimant: C!afr r r je Dresser, Esq. and Bourgeois

N.A.S.D. AWARD NATICNRL ASSOCIAIXOJ OF SECURITIES DEALERS la the Matter of tbs Arbitration Between Robert H. O'Connor Patricia O'Connor vs. 90-03437 Robert Crosby Wedbusn Morgan. Securities, Inc. Far Claimant: Michael L. Paula and Brian Lowe, Investors Arbitration Services, Inc., For Respondent Robert Crosby: Joba Bannsy, Esq., Law Office of Aon A. Aaderscn, Woodland Hills, , For Respondent Vtadbush Mea-gau Securities, Inc.: Leslie M