NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Laurence M. Leisten } Claimant ) ) AWARD vs. ) } NASD #90-02968 Municicorp of California ) Respondent ) J REPRESENTATION Claimants was represented by Stephan Math, Esq., Woodland Hills, California. Respondent was represented by Kenneth W. Rogers. SUMMARY OF ISSUES Claimant alleged Respondent breached the terms of their emp

N.A.S.D. AWARD Arbitration NATICNAL ASSOCAnCN OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of Claimant. {s\ Eileen H. Loeffler, Indiv. & as TTEE Name of Resporytent(S) Shearson Lehman Hutton, Inc. Thomas Silver Karl Loeffler National Attodatfon of Sftcuritiw DMtora, Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (305) 522-7391 Case No. 90-02966 Claimant, Eileen H. Loe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Erato Claimant Case #90-02959 vs. McLauglin, Piven, Vogel, Inc. Respondents AWARD CASE SUMMARY Mary Erato, in a claim filed with the National Association of Securities Dealers, Inc. on October 22 , 1990, alleged that Respondent churned her account, made unauthorized purchases and was negligent in the supervision and handling of her personal

N.A.S.D. AWARD NATICNAL ASSOdATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Oscar D. ) Case No. 90-02943 Name of Respondent^) ) ) Interstate/Johnson lace Corporation ) Michael For Claimant, Oscar D. Hackman ("Hackman"): Brian J* Cooke, Esq. of Koeppel, Coofce & Gottlieb. For Respondents, Interstate/Johnscn T.«T»» Corporation ("I/JL") and Michael ln ("^stein"): Barry P. Harris, IV, Esq. of I/JL.

N.A.S.D. AHAKD NATIONAL ASSOCIKnCK OF SBCDRITIES DEALERS In the Matter of the Arbitration Between. Of 1992 Ted & Nadine A. Mouras 90-02796 Ngme Of Pf>n| M nHant-p Boucher, Oebmke & Ocnpany Bryce Boucher . Oehmfce Richard R. Quinn Lorin W. Surpless John W. tftifort* j g^n (Voluntary Submission) Claimants were r*pr^g«nt' !3rf by Ti^rmag A. Curti, Esq., P.C. of Tucson, Arizona* Respondent, Richard R. Quinn, appeared grc^

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02795 In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Andrew J. and Gloria Cutright Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney, Dominick J. Dorata, Esq. , New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, alleged that Respondents Andrew J. Cutright and Gloria Cutright

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant AWARD vs. Harold 0. Postma Respondent Case #90-02794 CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney Dominick J - Dorata, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1990, alleged that Respondent, Harold 0. Postma, has failed to satisfy a d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas P. Mulligan Claimant vs. Richardson, Lyle and Adler, Inc Paul Penvenne Respondents CASE #90-02789 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, Claimant, Thomas P. Mulligan, who appeared Pro Se, alleged that Respondent, Paul Penvenne misrepresented the value of DACO I

N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Larry F. Witte & Teresa B, Bill ) ) ) Case No. 90-02785 ) Mame Qf Raymond James & Associates, Inc. ) Albert Stefan ) Heard before the members of the Arbitration Panel: Philip F. Ludovici, Esq. Public James M. Dunne Public Richard M. Kbwalske Industry Claimant, Larry Witte ("Witte") and Teresa B. Bill ("Bill"), we

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC Tn r.ha ItotifjM- nf rho zxr-hi 1-T-ar i on Jack D. Case # 90-02781 Name of Respondents Royce Park Investments Mark ( Marcus ) Alan Anderson CASE SUMMARY Claimant, Jack D, Love ("Claimant") alleged that Respondent, Mark (Marcus) Alan Anderson ("Anderson"), has on numerous occasions, without informing the Claimant, purchased stock from Claimant's account and misrepresented