NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oily van Driest-Young Claimant vs . Dean Witter Reynolds, Inc. anci Glenn Fischer Respondents Case #90-02779 AWARD CASE SUMMARY Oily van Driest-Young, in a claim filed with the National Association of Securities Dealers, inc. on October 5, 1990, alleged ihat Respondent Glenn Fischer while an agent with Dean Witter Reynolds, Inc,, misrepresen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02776 AWARD In the Matter of the Arbitration Between Roif Gren Claimant vs . Lombard Securities Corporation Respondent CASE SUMMARY Rolf Gren, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1990, alleged that Respondent Lombard Securities Corporation executed an unauthorized purchase of WTS Creative Learning Products which

Arbitration National Association of N.A S D AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York, NY. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimants Joel Efron. M.D. William Goldstein, M.D. Steven H. Wolf, M.D.. Esq. 90-02770 Name of Respondents First Eagle, Inc. Strategies International. Inc. Ted Giergielewicz

Arbitration N.A.S.D. AWARD NATICWftL ASSOCIATION OF SECURITIES DEflI£RS In the Matter of the Arbitration Between National Aaaodatton of SocuriBat Paatart, Inc. NASD Financial Center 33 Whitehall Street New York, New York 1000 John P. Spellroan & Catherine A. Spellman vs. 90-02764 Pruco Securities Corp. Tarrence Sullivan Par Claimant; Paul Got,'Bag. of Burns, Bryant, Hinchey, Cox & Shulte, P.A. For Respondent, Pruco Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Number: 01-00696 American Innovative Management Group, Inc. Namft nf the Respondents Hearing Site: Pittsburgh, Pennsylvania Continental Broker-Dealer Corporation, and David I. Cassuto RF.PRF.SFNTATTON OF PARTIES Claimant American Innovative Management Group, Inc., hereinafter referred to as "Claimant", was represented by Alphonse L. Iagnemma ?

N.A.S.D. AWRRD NKTICNftL ASSOCIATION OF SECURITIES EERLERS In the Matter of the Arbitration Between Q£ Downers Grove National Bank, as Trustee of frfr* Schuham Hardware Co. , Inc. Profit fawiHnj plan Nb. 90-02762 of Geneva Securities Inc. Roland K. Kaeser For dainant: James Adduci, Esq. t 1 ™* Michael Roche, Esq. of Scbuyler, Roche Zwirner, Chicago, IL. For Re^ondfint Geneva Securities! Paul Tvm>nM» f Esq. and Carolyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between ) Name of John E. and Helen S. Croken Name nf Hcmnnnriant-. f a j Dean Witter Reynolds, Inc. Stephen T. Slattery Case No. 90-02761 Heard before the members of the Arbitration Panel: Myron Cunay, Esq. Thomas £. Swenson Robert H. Hagan Public Public Industry Claimants, John E. and Helen S. Croken ("Crokens"), were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary Jane Andersen & Jeanine M. Andersen 90-02760 Name of Respondents Barry Bernstein Uche Akwuba Brennan Ross Securities, Inc. Princeton Financial Group Madison Chapin Associates, Inc. REPRESENTATION For Claimants ("Claimants") : Joseph E. Corrado, a sole practitioner. For Respondent Barry Bernstein {"Bernstei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; • r Lucia Vassallo ' Claimant ? • vs ; CASE! 90-02756 AWARD Kober Financial Corporation and > Gregory Meredith ' r Respondents r Pro Se Claimant, Lucia Vassallo, in a claim filed with the National Association of Securities^ Dealers f Inc. on December -10, 1990, alleged that she was deceived by a member of Kober Financia

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Helen Reinbolt Name of Respondent's \ Richard Balleau Olde Discount Corporation 90-02755 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimant, Helen Reinbolt appeared pro se. For Respondent, Richard Balleau and Olde Discount Corporati