NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION BETWEEN ROBERT and CAROLE PETRUCELLI JT/WROS CLAIMANT AWARD 90-01330 MICHAEL LAKE FINANCIAL CLEARING & SERVICES CORP. RESPONDENTS CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1990 Claimants Robert and Carole Petrucelli JR/WROS alleged an unauthorized trade was executed in their account creating a debit c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Alan E. Tasoff, M.D. Claimant vs. Joseph Frederick Respondent CASE #90-01327 AWARD CASE SUMMARY Alan E. Tasoff, in a claim filed with the National Association of Securities Dealers r Inc. on May 10, 1990 r alleged that Respondent Joseph Frederick recommended unsuitable investments that were not according to Claimants stated accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Burton J. and Shirley B. Udelson Claimants AWARD vs. Case #90-01325 Prudential-Bache Securities, Inc Respondent Heard by: Stephen E. Crable, . Public Arbitrator REPRESENTATION The Claimants were represented by Susan Anthony, Esq. of the law firm of Leighton & Regnery. The Respondent was represented by Patricia Fitzpatrick, Esq. CASE SUMM

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Name of Claimant(s) Rudrapatna Govindaraju Case#90-01320 Name of Respondent (a 1 Otra Clearing, Inc. J.F. Lcwe & Co. Inc. Rick Greenstein Kevan Arthur Watkins Castleton Rhodes, Inc. Heard before the Arbitrator: Guy E. (Sandy) Burnett, Jr. CASE SOMMT This claim was filed with the National Association of Securities Dealers, i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fordham Financial Management, Inc., (Claimant) vs. Vincent Chaz Ficci, (Respondent) Case Number: 01-00660 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Fordham Financial Management, Inc., hereinafter referred to as "Claimant": David A. Schrader, Esq., Schrader & Schoenberg, LLP, New York, NY. (Mr. Schrader was with the law firm of Raice Paykin Krieg & Sch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Murray Finkelstein Claimant Case #90-01315 vs. Award R.B. Marich, Inc. and Rudy Marich Respondent CASE SUMMARY - Claimant alleged that respondents made misrepresentations concerning "Vanter" stack, i.e that Vanter had a "done deal" through Oppenheimer's raising $100,000,000 via private offering for expansion purposes. Respondents deny the al

••-—rryv 1 ? • J. i v :". ' "~71 •"* N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of m | ^ION-CHICAGO Frederick W. & Virginia R. Braastad Name of Respondentfsl Financial Synergies Equities , Inc. DeRand Pennington Bass f Inc. Amir H. Ahanchion, Ph.D Financial Synergies, Inc. 90-01310 RKPHKKKMIWFIQN OF Claimants Frederick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jean R. Tison,Jean R. Tison, Trustee CASE #90-01304 Name of Respondent^ A.G. Edwards & Sons, Inc. Heard before the members of the Arbitration Panel: Brian G. Maoney, Esq. Public Marshall J. Seidman, Esq. Public Stephen P. Savitt Industry This matter was initiated by a Statement of Claim filed with the National Associ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Evelyn Myrl & Gerald Jay Blount Claimant{s) vs . 90-01303 Century Financial Securities, Inc. and Scott Sengleman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant^ s) Evelyn Myrl & Gerald Jay Blount alleged that Respondent(s) Century Financial Securities, Inc. and Scott Sengleman accepted Claimants' funds by check, failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC- In the Matter of the Arbitration Between ) ) Wedbush Morgan Securities, Inc. ) Claimant & ) Counter-Respondent ) AWARD vs . ) ) NASD #90-01300 Edward Mars ) Tanunie MArs ) Respondents & ) Counter-Claimants ) REPRESENTATION Claimant Wedbush Morgan Securities was represented by Terry Ross, Esq. of Keesal, Young & Logan, Long Beach, California. Respondents Edward and Tammie Ma