Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam? n f fo* ripimanf CaseJ^ufflhec: 01-03254 UBS PaineWebber Incorporated Mark A. Gensch T?f < ; p nnf 1fpt H^flrins ^itf Houston, Texas O Claimant UBS PaineWebber, Incorporated, hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson, Manchel & Brennan, LLP. 9 located in Northvale, New Jersey. Respondent, Mark A. Gensch, herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS I.; the Matter of the Arbitration Between Andrew A. Allison Claimant(s) vs. Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD 88-01319 CASK SUMMARY Claimant(s) Andrew A. Allison alleged that Respondents) Fidelity Investments committed unauthorized transactions and failed to execute an order on a timely basis. Respondent (s) denies Claimant's allegations. RELIEF RBQQE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. -83-01318 Steve Koonin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Steve Koonin owes the Claimant the debit balance held in Respondent options account. Respondents) denies Claimant's allegations. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) K. LAL and SUNDERSHAN SABHARWAL ) Claimants ) v. ) NASD NO. 88-01314 WALL STREET CLEARING CO., WALL STREET ) FINANCIAL, INC., RAGMAVA MANDAVA } Respondents) CASE SUMMARY In a claim filed with the NASD on April 25, 1988, an amended statement of claim dated December 22, 1988 and a second amended statement of claim filed with the NASD on February 9, 19

AfbHnttoo * » ^ „ «««« N.A.S.D. AWARD Seeuritiea Oealera. inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS N »* y ork. New York 10004 In the Matter of the Arbitration Between * Name of Claimants; Leon Perahia and Florence Perahia 88-01309 Cowen & Company Viceroy International Securities Corp. Carl Caserta Robert J. Onesti I For Claimants: Lawrence Geiber, Esq. of Be

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Marie E. Dickerson - Cohen Claimant ) ) vs. ) CASE NO. 88-01424 Foster & Marshall Respondents ) Boettcher & Company ) Kenneth Wilkinson ) Jane Doe Wilkinson ) ) SUWARY OF ISSUES This claim was filed on May 3, 1988. Claimant alleged Respondents breached their fiduciary duty, were negligent and acted fraudulently by investing Claimant's fu

N.A.S.D. AWARD NATICNNli ASSOdKTICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Cberweis Securities, Inc. 88-01423 Thomas P. DeVries Marguerite DeVries Foe Claimant: N. Neville Reed, Esq., of Mayer, Brown & Platt, Chicago, Illinois. Fdr RBBpmdsntt none. rant Statement of CTnlm filed; May 5, 1988. Claimant's Submission Agreement signed ant February 2, 1988, by Janes A. Arpaia, Senior Vice President, Cberweis Securit

rtATIQNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between A. GILBERT BELLES ) Claimant ) NASD NO. 88-01418 v - I EDWARD 0. JONES & CO., INC. and ) MARK BURNSIOES } Respondents ) CASE SUWARY A. Gilbert Belles ("Claimant") alleges that Edward D. Jones & Co. and Mark Burnsides ("Respondents") misrepresented the types of investments purchased in his account and Claimant relic-G on the recommendations of R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward J. Potter, Claimant, vs. A.6. Edwards & Sons. Inc. and Joseph Flammio, Respondents, Case #88-01410 Award Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Ms. Patricia A. Shub Mr. Samson Silbennan CASE SUMMARY This claim was filed with the NASD, Inc. on May 2, 1988. The hearing was conducted in Fort

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Irving & Mary Rappaport Claimants Case f88-01409 "vs. Award Fidelity Investments Respondent On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Irving & Mary Raopaport on May 6, 1988 ana by Respondent Fidelity investments on October 27, 1988. The arbitratio