Arbitration National Association of Securities Dealers, 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 Name of Claimant (s) Eletra Casadei, Trustee et al. 88-02290 Name of Res'londent (s \ Shearson Lehman Hutton, Inc. Stan Zicklin This case was filed with the National Association

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GOLDEN BELT SAVINGS AND LOAN ASSOC. ) Claimant(s) ) and ) ) CASE NO. 88-02288 METRO SEC., INC., GLICKENHAUS-LTG & CO., ) AND WESTCAP GOVERNMENT SEC., INC. ) Respondent (s) ) CASE SUMMARY Golden Belt Savings and Loan Association ("Golden Belt") alleged as follows: 1. Golden Belt advised the president of Metro Securities, Inc. ("Metro")

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Steven A. Tilliss and George R. Bellinger, Jr. Claimant(s) vs. 88-2285 George Huff Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the claimants on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard Queirolo Claimant ) vs. ) Case #88-02284 Award Shearson Lehman Brothers, Inc. Respondent On May 15, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on July 12, 1988, and by Respondent on February 27, 1989. The arbitration panel, having considered th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James 6. and Marie B. Goodman Claimants vs. AWARD #88-02278 Smith Barney, Harris, Upham & Co., Inc. Clarence Jeter, III Respondents Case Summary Claimants alleged that Respondents failed to follow Claimants' instructions by entering a "market not held" order on common stock in Claimants' account resulting in losses to the Claimants. Respondents ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Rabideau Claimant(s) vs. North American Investment Corp. vs. James Greenbaum Respondent(s) AWARD 88-02271 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on June 24, 1988 and October 11

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Gaeta, (Claimant) vs. Josephthal Lyon & Ross, Inc. and Robert Fronjian, (Respondents) Case Number: 99-04016 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Gaeta, hereinafter referred to as "Claimant": Frances Nicotra, Esq., sole practitioner, Jersey City, NJ. Respondent, Josephthal Lyon & Ross, Inc. ("Josephthal"): John Bersin, Esq., Associate

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between First Potomac Securities Corporation Claimant vs. Jerry A. Tyler Respondent Case #88-02270 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the Claimant on July 6, 1988 but not signed by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James H. and Cathleen A. Duffy Claimants vs. Case #88-02267 Award James Greenbaum, Respondent CASE SUMMARY Claimants allege that Respondent North American Investment Corp. and its registered representative, James Greenbaum, made unauthorized and unsuitable trades of 2000 shares of Scientific Measurement Systems for a total cost of $2,262.24. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In The Matter of Arbitration Among Edwin Brandes vs. E.F. Mutton & Co., Inc. Claimant Respondent Case 188-02265 Case Summary Claimant Edwin Brandes alleged that he was advised to inv«st-fn-an insurance company stock and by virtue of his investment, he was advised by Respondent's representative that he was entitled to a life insurance policy. Claimant Edwin Brandes alleged that subsequently he di