NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ernst and Company vs. George Pomerantz vs. Claimant Respondent Wall Street Discount Corporation and John Does 1 through 10 Third-Party Respondents CASE #88-01025 AWARD CASE SUMMARY In a claim filed at the National Association of Securities Dealers, Inc. on March 30, 1988 Claimant Ernst and Company alleged Respondent George Pomerantz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Michigan Business Systems, Inc. ) Claimants ) and ) A W A R D ) 88-1024 Merrill Lynch Pierce Fenner & Smith, Inc.; > David F. Winkler ) Respondents ) CASE SUMMARY Michigan Business Machines, Inc. ("Claimant") alleged the following: 1. Merrill Lynch Pierce Fenner & Smith, Inc. and David F. Winkler (Merrill Lynch and Winkler are collect

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth R. Corn vs. Prudential Bache Securities, Inc. David C. Saalfrank Eric A. Wachter Joseph H. Ellershaw Philip Ceravole Claimant Respondents CASE #88-01018 AWARD CASE SUMMARY In a claim filed by Kenneth R. Com on March 30, 1988, Claimant alleged that Respondents Eric A. Wachter ("Wachter"), Prudential Bache Securities, Inc. ("Pr

Arbitration National Affectation of Securities Dealers, inc. NASO Financial Canter NATIONAL ASSOCIATION OF SECURITIES DEALERS, 3}J|(ji^ehall StrMt New York, Now York 10004 In the Matter of the Arbitration Between Frank J. Ryan and Evelyn M. Ryan Claimants vs. Case 88-01017 AWARD Liss, Tenner & Goldberg Securities, Matthew Boardiaan, G. Robert Abrams Respondents » CASE SUMMARY Claimants allege Respondents made misrepre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) i Evelyn & Kenneth Dougherty Claimants i AWARD vs. ) ) MASD =88-01015 Kennedy Cabot & Company ) Securities Settlement Corporation ) Putnam Financial Services, Inc. ) State Street Bank & Trust Company ) Respondents ) REPRESENTATION Claimants were represented at hearing only by Seth Isaacs. Respondents , Kennedy Cabot and Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bobby L. and Debra J. Thotnason Claimants vs. Blinder, Robinson & Co., Inc. Dan Rosen Brian Sengson Respondents AWARD #88-01014 Case Summary Claimants Bobby L. and Debra J. Thomason ("Thomasons") claims against Respondents Blinder, Robinson & Co., Inc. ("Blinder"), Dan Rosen ("Rosen") and Brian Sengson ("Sengson") arise from the offer and sale of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Grace 0. Meyer Claimant(s) vs. 88-01010 Shearson Lehman Brothers and Wallace Belin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Grace D. Meyer alleged that Respondent(s) Shearson Lehman Brothers and Wallace Belin caused delays which resulted in substantial financial loss. Respondent(s) deny all Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) J.C. Bradford & Company ) ) Claimant ) and ) A W A R D ) 88-01154 Bert L. Frazier ) ) Respondent ) ) CASE SUMMARY In a claim filed with the NASD on April 20, 1988, Claimant J.C. Bradford & Company ("J.C. Bradford") alleged that Respondent Bert Frazier ("Frazier") incurred a margin debit in his securities account which was open

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) SIGA INVESTMENTS CORPORATION, LTD. ) Claimant ) and ) ) CASE NO. 88-01149 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., GILBERT D. CASTANEDA et al. ) Respondents ) ) CASE SUMMARY * SIGA Investments Corp., Ltd. ("Claimant") alleged as follows: 1. Gilbert Castaneda and Peter Gerrity, registered representatives of Merrill Lynch, Pierce

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Dean Witter Reynolds, Inc. Claimant/ ) Award Counter- ) Respondent ) ) NASD #88-01141 vs. ) Mark Neckameyer and Respondents/ Theresa Neckameyer Counter- Claimants SUMMARY OF ISSUES * - . . Claimant Dean Witter Reynolds, Inc. filed this action on April 11, 1988 against Respondents for recovery of a debit balance due and owing and for brea