Arbitration N.A.S.D. AWAKU National Association of - - Securities Dealers, Inc. NXnCNRL ASSOdATICN OF SBCDRITIES DEALERS NASD Rnancial Center 33 Whitehall Street In the Matter of the Arbitration Between New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimant (s) 1_TK arw - Th • r "°• OSES Barbara Capozzi 90-02665 Merrill Lynch Pierce Fenner & Smith Xnc Bruce Ciallella i i mi For daimant: Marfc E. Squires, Esq. of

NATIONAL ASS'XM'Vi'l "N UF SKCUF r'P I F.;? UEALEKS, INC, 1 . I ii t-he Matter of the Arbitration Between Barbara J. Lore Claimant ] sinionds, First Eagl* j , in< - Mnim*?t;f A. Larkin Co. , ' '" CASE 890-01814 AWARD 1 '^E: SUMMAPV *' l.j.i.mant, Barbara J. : "»-^, iji a c La i.m Jlil'.'d with the National A.ssoc j.at ion of Securities; I '"^ Lers , I. no . < >n June 26 , J.990 , alleged t hat Respondents made i.nv^

Consent Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Track Securities Corporation, (Claimant) vs. Arnold Goldenberg and Reach Corp., (Respondents) Case Number: 01-00690 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Track Securities Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP, New York, NY. Respondents, Arnold Goldenberg ("Goldenberg") and R

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between Thomas and Catherine Simmons Claimants vs . Bernard Kaimus and Mark Boyle Respondents Case #90-01811 AWARD CASE SUMMARY Thomas and Catherine Simmons, in a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1990, alleged that Respondent Bernard Kaimus, while employed at Blinder, Robinson and Company, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dianne M. Elford Claimant vs. CASE 90-01810 AWARD Chris J. Georgakas and Prudential-Bache Securities, Inc. Respondents CASE SUMMARY Claimant Dianne M. Elford, in a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1990, alleged that Respondents r Chris J. - Georgakas and Prudential-Bache Securities, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between George A. Downsbrough Claimant vs. Adnan Durrani Respondent Case #90-01808 AWARD CASE SUMMARY George A. Downsbrough, in a claim filed with the National Association of Securities Dealers, Inc. on June 26, 1990, alleged that Respondent Adnan Durrani while employed at J.T. Koran and Company, Inc., failed to meet his fiduciary responsibilities in ha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) Robert G. Peterson Family ) Trust et al ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01806 Discount Brokerage Services ) Tim Powell ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 26, 1990. Claimant alleged: failure to forward a cash tender offer t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jon Martin Claimant vs - CASE f90-01805 AWARD F. Scott Smith Bayview Securities Respondents CASE SUMMARY Pro Se Claimant, Jon Martin, in a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1990, alleged that Respondents have failed, after repeated requests, to close his account and refund the money the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mgme of f!1aimantg Martin Walters, individually and as custodian for Heidi Lynn Walters and Jamie Ann Walters under U3MA/IA, Marty Walters Hones, Inc. and Kathleen Walters a/k/a Kathryn Walters 90-01804 Nams Qf Anchor National Financial Services, Inc. and Norman L. Dixon Claimants appeared pro gg. Anchor National Financial Services,

N.A.S.D. AWARD NA3TCNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant./ a ) Adelaide & Theociore J. Lipton Harris Scherl Jiil Iteyerson Suimit Investment Corp. Kevin Harris ) Case No. 90-01801 Heard before the members of the Arbitration Panel: Edward J. Mar to f Esq. Samuel Leigh Terrence W. Grant Public Public Industry Claijnants, Adelaide Lipton, Theodore J. Lipt