NATIONAL ASSOCIATION Or SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Nabinger "; "•"." •r^-.T-^Jcii First Fidelity Capital Corporation John Piscopo Randall Gudme Respondents CASE SUMMARY Pro Se Claimant, Richard Nabinger, in a claim filed with the National Association of Securities Dealers, Inc. on October 1 , 1990, alleged that Respondent John Fiscopo while an agent at First Fidelity Capital Corporation New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAl£RS In the Matter of the Arbitration Between Name of Claimant^ s) Burke, Christensen & Lewis Securities, Inc. Name of Respondent^ s^ Thomas William Stevenson j V '< -';• \ 90-02720 For Claimant: Burke, Christensen and Iswis Securities, Inc. '^as represented by James J. Moylan, Esq. of James J. Moylan & Associates, Ltd., Chicago, Illinois. For Respondent: Thotas William Stevenso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mollie Berg Claimant AWARD vs. Olympic Securities Respondent Case #90-02718 Prudence W. Baldwin Public Arbitrator CASE SUMMARY Mollie Berg, in a claim filed with the National Association of Securities Dealers, inc. on October 10, 1990, alleged that Jeffrey R. Snider, an Assistant Vice President of Olympic Securities, neglected to inform her

Arbitration National Association of Securities Dealer*, Inc. ______ _ __ ~ NASD Financial Center NATICMAL ASSOQAL'JXll OP SULUH1T1ES DEALERS 33 Whitehall Street _ _ _ _ _ New York, N.Y. 10004 la the Matter of the Arbitration Between FAX (21 2) 858-4389 Name of Floyd and Mary Vaugban 90-02716 Nttme of FaineWebber, IDC. A.J. Paulika For Claimants Floyd *™j Mary Vaughan ("Claimants 11 ): David H. Foster, a sole practitioner.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John V. Cioffi and William J. Burke, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) Case Number: 01-00692 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John V. Cioffi ("Cioffi") and William J. Burke ("Burke"), hereinafter collectively referred to as "Claimants": Anthony Paduano, Esq., Paduano & Weintraub LLP, New York, NY. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lea Smith Johnson and Glenn Johnson, JT/WROS Claimants vs. Karl Tarbox Respondents CASE #90-02713 AWARD CASE SUMMARY Lea Smith Johnson and Glenn Johnson, in a claim filed with the National Association of Securities Dealers, Inc. on October 1, 133G-, aliened thai. Respondent,- Karl Tarbox, an agent at the Miami office of Blinder. Pobi n*on *

N.A.S.D, AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ~~ Name a of Claimant a Raymond H. Link and Joyce L. Link 90-02712 Names of Respondents Shear son Lehman Hut ton. Inc. and Daniel Zessinger REPRESENTATION Claimants were represented by Stanley E. Goldstein, Esq. of Seiner, Glaaer, Komon, Berger & Galganski, St. Louis, Missouri. Respondents, She arson Lehman Button, Inc. and Danie

Arbitration NiAiGiD National Association of NKTICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Between New York, New York 10004 NamgofClaiggntfs) Matthew Gohd 90-02711 (S\ Gilford Securities , Inc. For Clainent: Harris Cogan of Tenzer, Greenblatt, Fallon & Kaplan. For Respondent: Robert Brantl, Esq. of Bresler, Aroery & Rothenberg. cam .-aMgmrw Stataoent of Claim filed: 10/1/90 Cla

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name or' Claimant Ira L. Goodman 90-02709 Names of Respondents ArMa Financial Services. Inc.. Merrill Saunoi and Jere Ledesky REPRESENTATION Claimant. Ira L. Goodman was represented by Burton M. Bentiey. Esq. of Phoenix. Arizona. Respondents. .ArMa Financial Services. Inc.. Merrill Sauriol and Jere Ledesky were represented by Philip

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tottenham Corporation and 90-02700 Name of Respondents Bear Stearns & Co . , Inc . and Jorge E. Villalba and Name of Third Party Respondent Alberto Garza Santos REPRESENTATION OF PARTIES Claimant was represented by Walter T . Weathers , Esq . , Houston , Texas . Respondents Bear Stearns & Co., Inc* and Jorge E.