NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x A.M. Miller Tupker, x Claimant, x x CASE NO. vs. x 90-01709 x Shearson Lehman Hutton, Inc., and x AWARD Neal Impellezeri, x Respondents. x ^___ x CASE SUMMARY Claimant, A.M. Miller Tupker ("Tupker") by and through her attorney-in-fact r R.J.J. Hiemstra ("Hiemstra"), alleged that Hiemstra instructed Respondent Neal Impelle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Harold Vandermark Susan Vandermark vs. Claimants Prudential Bache Securities, Inc. Martin Wewerka Respondents CASE# 90-01708 Heard befoxes Dorothy F. Gray Henry H. Baiter Catherine Ladnier Public Arbitrator Public Arbitrator Industry Arbitrator REPRESENTATION The Claimants were represented by Ira M. Starr, Esq. of the law

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gay E. Dall Claimant: CASE *90-01707 AWARD vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY Gay E. Dall r in a claim filed with the National Association of Securities Dealers, Inc. on June 18, 1990, alleged that Respondent Prudential-Bache Securities, Inc. executed unauthorized trades, charged excessive commissions and recom

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Them Spectenbach Rebecca Spectenbach & Robin Blackley 90-01701 Name of Responrterrbf s] Lou Chiappone Heard before: Name Public /Industry Deborah Sherman, Esq. Public Arbitrator (chairperson) Anne Cugliani Public Arbitrator Karen Van Ingen, Esq. Industry Arbitrator Claimants were represented by Keith Ahramson, Esq. of 'The Law Offic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard A. Lane, Trustee for Mabel Jones Trust FBO Karen Jensen Claimant vs . Al Jeanfreau Respondent CASE #90-01697 AWARD CASE SUMMARY Richard A. Lane, Trustee, in a claim filed with the National Association of Securities Dealers, Inc. on June 15, 1990, alleged that Respondent Al Jeanfreau made unsuitable investments and negligently han

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles B. Drake, Trustee Drake Construction Co. Drake Construction Co. Profit Sharing Plan Claimants vs. Case #90-1696 Shearson Lehman Mutton, Inc. Respondent ARBITRATION AWARD REPRESENTATION 1. Claimants were represented by Mr. Charles B. Drake, Trustee of the Profit Sharing Plan and President of Drake Construction Co. 2. Respondent was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Caplan Family Trust Case No. 01-00670 Names of Respondents Louis Joseph Bacher, Jr. Hotovec Pomeranz & Co., Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For The Caplan Family Trust (the "Trust"), hereinafter referred to as "Claimant": Robert C. Port, Esq., Hassett Cohen Goldstein Port & Gottlieb, LLP, Atlanta, Georgia. F

Arbitration N.A.S.D. ANARD NKFICNftL ASSOdOPICN OP SECURITIES DERtHG National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York ' New York 10004 In the Matter of the ArMtiaticn Between vf ClaJIDg"f Salvatore Pellettiere Case # 90-01406 Carl Balzanti Heard before: John S. Van Duser Public This claim was initiated by a Statement of Claim filed with the National Associ

N.A.S.D. AWARD ASSOCIAnCtT OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ellen Jane Dronol and William E. Dransl, Trustees for the Robert E. Dranel 1973 Trust vs. 90-01401 Name of RMpcpdent (a) Sbearscn Lstnan H^ffr^tj inc. Ronald D. For daiaaantst Stuart D. Tbchnor, Esq., Fftjffp** 1 *' 8 - and Itoba, Beverly HUls, Fbr ReapCDdeatss DBBMI Stilwell TtMnrtntrn^ Esq., Keesal, Young & Logan, Loog

90-01393 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Suzanne K. Donoracki Mane of Respondents Wesley Hayne Hayne Miller and Swearingen, Inc. ram sraaftRT -- - .. . In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about May 16, 1990, James and Suzanne K. Dororacki ("Claimants") alleged that Wesley Hayne their registe