NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DOM AND IRINA MARTINO, SHARON MARTINO AND ANDREW HARTINO CLAIHANTS AWARD V. /90-00463 DEAN WITTER REYNOLDS, INC. TERENCE F. MARKET AND IRA KORNBLATT RESPONDENTS CASE SUMMARY The statement of Claim was filed with the NASD, Inc. on February 13, 1990. Claimants Dom, Irina, Sharon and Andrew Martino alleged that they were unsophistic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jerome and Marcella Yunger, Claimants v. Seibt Financial Services, Inc., Respondent. Case Number: 99-03994 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: Max C. Tanner, Esq. Law Offices of Max C. Tanner Las Vegas, Nevada For Respondent: Hans Seibt Seibt Financial Services, Inc. Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ijlame of f],airpant(s) Thonas J. Peters Leslie J. Schurr Peter A. Lcmeo Mary M. Swanson DeArle Masters and Jeffrey J. Saienme l^ame of Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Bramble ) Case Nos. 90-02932 90-03202 91-00066 91-00353 91-00536 91-00537 For Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweenj ) Name of flaimantf s< ) ) Thomas J. Peters ) Leslie J. Schurr ) Peter A. Lcmeo ) Mary M. Swanson ) DeArle Masters and ) Jeffrey J. Salemme ) ) Name of Respondent.^) ) ) Princeton Financial Group ] Anthony J. Pontieri j Jerry Frederick Shorthouse ] Charles Bramble ; Case Nos. 90-02932 90-03202 91-00066

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of n«imanfc< s\ ) ) Thomas J. Peters ) Leslie J. Schurr ) Peter A. Lonao ) Mary M. Swanson ) DeArle Masters and ) Jeffrey J. Salenme ) ) of Respondentts) l Princeton Financial Group Anthony J. Pontieri Jerry Frederick Storehouse Charles Brimble Case Nos. 90-02932 90-03202 91-00066 91-00353 91-00536

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) (CATHERINE B. BOND ) Claimant(s) ) Case No. 88-02210 and ) SHEARSON LEHMAN HUTTON, INC. AND BERTRAM RISEN Respondent(s) CASE SUMMARY Katherine B. Bond ("Claimant") alleged that Bertram Risen, who was at the time of the acts complained of herein a registered representative of E.F. Hutton, Inc. (Bertram Risen and Shearson Lehman Hutton, Inc. are col

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard and Janice Li 1 lien, ) ) Claimants ) ) Case #88-02207 vs. ) Award Dean Witter Reynolds, Inc., Ronald Biederman and William Wick, Respondents On April 20, 1989 and May 1, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Richard and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JAMES C. RADER & SANDRA F. RADER ) ) Claimants ) v. ) CASE NO. 88-02205 ) AWARD MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND DANIEL E. THORSON ) Respondents ) On May 15, 1989 in Minneapolis, Minnesota, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on June 30, 1988 by Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Emanuel J. and Suzanne W. Gorman, Claimants » ) Case #88-02197 vs. Shearson Lehman Mutton and Joel S. Silber, ) Award Respondents On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Emanuel J. and Suzanne W. Gorman, on June 29, 1988 and by Respo

N.A.S.D. AMMZD NRUCNRL ASSQdXnQtT OF SBDDRITIES rrarjas In the Matter of the MDitzatlcm EetMeaa of Stavsa 88-02196 Thda City ea, loo. Pbr naiTmmtt Pro Se. Hoar Raapcodaat: Oatus (Anthony) E. City Securities, IDC. : Tin Raman, Frldley, Pro S*. For Statenoat of Halm filBri: CULy 12, 1388. Claimant's flfrnrlwrlnn Agrement signed cm March 23, 1988. of AIUMBC ^^*>»* by KflepooclflDk, P^^HM (UnbbcDy) B. 22, 1986. cm