NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Mastrobattisto, Claimant vs. Case #87-02799 Award Stephen McDevitt and Shearson Lehman Mutton, Inc., ) Respondents ) ) CASE SUMMARY Claimant alleges that his broker, Stephen McDevitt, violated Section 10(b) of the Exchange Act and Rule 10b-5 and Section 36-498 of the Connecticut Uniform Securities Act. Specifically, Claimant allege

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. n/k/a Wachovia Securities, Inc. and 01-02565 Phoenix, Arizona Name of Respondent David W. Block REPRESENTATION OF PARTIES First Union Securities, Inc. n/k/a Wachovia Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Kevin Gleason, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Mr. Gleason ap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Jean and Margie Hampshire ) Claimants ) and ) A W A R D ) 87-Z78& Allied Capital Group Inc.; ) Jeffrey Pitzler ) Respondents ) On Tuesday, May 2, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on December 18, 1987 by Claimants Margie and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Adelaide Mancuso, ) Claimant ) Case #87-02777 vs. ) Award V.P. Securities and Maria Saulino, Respondents CASE SUMMARY Claimant alleged that Respondent, Maria Saulino, failed to exercise her warrants of Wainscott Capital stock pursuant to her order. Respondent, Maria Saulino, maintained that without the warrants, they could not be exercised and since

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Jay Nicholas ) ) Claimant ) and ) A W A R D ) 87-02768 Shearson Lehman Brothers, Inc.; ) Paul Warehall ) Respondents On Wednesday, May 3, 1988 in South-field, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on Decem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond C. Desmarais J93-Q132J vs. Consolidated w/#93-01325 Name of Respondents Janney Montgomery Scott Inc. Norman R. Ferry Name of Claimants Donald P. D'Agostino Mary G. D'Agostino Adele D'Agostino vs. Name of Respondents Norman R. Ferry Janney Montgomery Scott, Inc. REPRESENTATION For Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond C. Desmarais vs. Name of Respondents Janney Montgomery Scott Inc. Norman R. Ferry -Q132 Consolidated w/#93-01325 Name of Claimants Donald P. D'Agostino Mary G. D'Agostino Adele D'Agostino vs. Name of Respondent^ Norman R. Ferry Janney Montgomery Scott, Inc. REPRESENTATION For Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimants Robert and Janet Sullivan Case* vs. 93-00808 Dean Witter Reynolds Inc. Robert N. Schcrzer For Claimants, Robert and Janet Sullivan ("Claimants"), Richard C. Heidlage, Esq. from the law firm of Heidlage & Reece, P.C., located in Boston, Massachusetts. For Respondents, Dean Winer Reynolds, Inc. "(DWR") and Robert N. Scherzer ("S

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Margaret C. Spaulding, Joseph P. O'Connell and James Weber, as Co-Trustees of the Helen Spaulding Trust 93-00797 Name of Respondents Mutual Service Corporation; Pacific Equities Network; River North Securities; Coleman Richards Equity Inc.; Carol A. Holesha; and Charles J. Richards REPRESENTATION For Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Warsh 93-00742 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimant Robert L. Warsh ("Warsh") appeared Richard L. Burstein, Esq., Fernandez & Burstein, P.C., Albany, New York. For Respondent Prudential Securities, Inc. ("Prudential") appeared Miriam G. Bahcall, Esq., Skadden, Arps, Slate, Mea