Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wharton Capital Fanners LTD, (Claimant) vs. Morgan Stanley Dean Witter, Inc., (Respondent) Case Number: 00-00502 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wharton Capital Partners LTD, hereinafter referred to as "Claimant": Noah M. Weissman, Esq., Robinson Silverman Pearce Aronsohn, New York, NY. Respondent, Morgan Stanley Dean Witter, Inc., hereinaf

HATICNAL ASSOCIATION OF btXJURiTiKS DEALERS In the Matter of the Arbitration Between Name of Lillian E. Schilbe vs. 91-00376 Name of Securities West, Inc. M.A. Higgle For Claimant: Anthony M. Englese, Esq., San Francisco, California. For Respondent Securities West: Joseph M. Anton, Securities West, Santa Ana, California. For Respondent Higgles Mr. Higgle represented himself at hearing; after James R. Duncan, Esq., Irvine, California, ent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack K. and Sharon A. Harms Claimants vs. Shearson Lehman Hutton f Inc. n/k/a Shearson Lehman Brothers, Inc. Donald M. Swift Respondents CASE #91-00375 AWARD CASE SUMMARY Jack- K. and Sharon A. y?.r*r.ii, in a c!»im filed with the National Association of Securities Dealers, Inc. on February 4, 1991, alleged that Respondent Shearson L

Arbitration N.A.S.D. AWAFD NftUCNAL ASSOCIATION OF SECURITIES DEAI£PS In the Matter of the Arbitration Between of National AnocMton o* Securities Dealer* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 James and Staci Darragh VB 91-00371 Kirlin Securities Christopher Callagy Joseph Henn For Claimant: Claimants represented themselves. For Respondent: Kirlin Securities was represented by Anthony

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Don Tait r r Claimant ; vs. ; CASE #91-00370 AWARD Wilshire Discount Securities , Inc. Wedbush Morgan Securities, Inc. Respondents CASE SUMMARY Pro Se Claimant Don Tait, in a claim filed with the National Association of Securities Dealers, Inc. on February 5, 1991, alleged that Respondents failed to check the authenticity of the certifica

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; » r Diana Peluso ; / Claimant ; ? CASE #91-00366 vs. ; AWARD r Christopher L. Foster ; • r Respondent ; CASE SUMMARY Diana Peluso represented by Michael B. Carrick r Esq. r Stanford, CT-, in a claim filed with the National Association of Securities Dealers, Inc. on February 4, 1991, alleged fraud by inducement

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Mame of Claimanti(s) ) ) Thelma Pollack ) ) ) Case No. 91-00364 Shochet Securities, Inc. Marvin Shochet For Claimant, Ttelma Pollack ("Pollack"): Dyaime E. Feinberg, Esq. of Gil bride, Heller & Brown, P.A. For Respondents, Stochet Securities, Inc. ("SSI") and Marvin Shochet ("Shochet"): Alex J. Sato, Esq. of Jfcrgan Lewis & Bock

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Manjit Singh Khalsa Claimant vs. H.T. Fletcher Securities, Inc* Richard Crosby Respondents CASE f91-00361 AWAHD CASE SUMMARY Manlit Singh Khalsa, in a claim filed .with the National Association of Securities Dealers, Inc. on February 4, 1991, alleged that Respondent Richard Crosby at H.T. Fletcher Securities, Inc. recommended that he sell 6,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between} ) Bear, Stearns & Company, Inc. ) Claimant } ) AWARD vs. ) ) NASD #91-00360 Centurion Company ) John Albert ) Respondents ) __) REPRESENTATION Claimant was represented by Michael C. Licosati, Esq., of Keesal, Young & Logan r Long Beach, California. Respondents were not represented and did not appear at the hearing. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ LIT America, Inc. 91-00359 Name of Resprmripnt; Mark Wander For Claimant: daimant TV*H no attorney of record. For Respondent; Paul Pantano, Esq. of McDennott, Will & Bnery. case Claimant filed a Statement of n^™ dated January 30, 1991 and executed a Submission Agreement on January 28, 1991. Respondent did not file a Statement of Answ