NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Pollock Claimant(s) ARBITRATION vs. AWARD 90-00081 Prudential-Bache Securities, Inc. and Mark Tasher Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) David Pollock alleged that Respondent(s) Prudential- Bache Securities, Inc, and Mark Tasher wrongfully charged a redemption fee. Respondent(s) maintain that the Claimant knew, or in the exe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger H. Williams 90-00080 Name of Respondent.? s^ Shearson Lehman Hutton, Inc. Stephen Paul Vanier CASK In a claim filed with the NASD on or about January 4, 1990 Roger H. Williams and Katharine E. Williams (collectively "Claimants") alleged that Shearson Lehman Hutton, Inc. and Stephen P. Vanier (collectively "Respondents") were fiduciari

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' ) Robert M. Cohen, Trustee 90-00084 (Consol. w/ 90-00085) Iddenburg, & Co., Inc. Heard before: Frank R. Smith Michael Strieby T.i.nrta Lee Weber Public /Industry Public Chair Public Industry Claijnants Robert M. Cohen and Edward S. Singer were represented by Richard A. Love, Esq. Respondent Ladenburg, Thalmann

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Robert M. Cohen, Trustee 90-00084 (Consol. w/ 90-00085) & Co., Inc. Heard before: Piihl i Frank R. Smith Michael Strieby Linda Lee Weber Public Chair Public Industry Claimants Robert M. Cohen and Edward S. Singer were represented by Richard A. love, Esq. Respondent Ladenburg, Thalmann & Co. Inc. was represented by Gary

WASO Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SB.UItiTlig DEALERS In the Matter of the Arbitration Between Denis* Hyams, individually Denis* Hyans a0 Executrix under the Will of Margaret Hyans, deceased 90-00077 Name of codent B. Vincent Pater National Association of SceuritlM Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Fbr Claimants: Graham E. "«•**"••, Esq. of Smith, St

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Rita Price Claimant(s) vs. Greentree Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00070 CASE SUMMARY Claimant(s) James and Rita Price alleged that Respondent(s) Greentree Securities Corp. misrepresented the investment quality and the return to be received on a security recommended by Respondent. Respondent did not de

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants > Susan E. Katz 90-00069 of • Prudential-Bache Securities Inc. Frank S. Lesser Robert P. Goldstein, Jr. Heard before: Name Public/Industry Janes R. McGuone, Esq. Public Arbitrator Emily Grigsby Public Arbitrator Ann L. MOUanon Industry Arbitrator This matter was initiated by a Statement of Claim filed with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugh M. Robinson Claimant(s) vs. Monmouth Investments, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00068 CASE SUMMARY Claimant(s) Hugh M. Robinson alleged that Respondent(s) Monmouth Investments, Inc. made unauthorized transactions. Respondent did not respond. RELIEF REQUESTED Claimant (s) Hugh M. Robinson requested damages of Two Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Phyllis Goldman vs. PaineWebber, Inc. vs. Alan Goldman Claimant Respondent ) ) AMENDED AWARD ) TO CORRECT ) MINISTERIAL ERROR ) NASD NO. 90-00062 Third Party Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 2, 1990. Claimant alleged the unauthoriz

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between William and Carolyn Magda 90-00059 Name o Shearson Lehman Hut ton, Inc. Prudential-Bache Securities Inc. Joseph N. Yander Raymond Brennan Heard before: Dorothy F. Gray Public Arbitrator Fred S. Pieroni Public Arbitrator Edward Buckley Industry Arbitrator This claim was initiated by a Statement of Claim filed with the National As