NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00040 AWARD In the Matter of the Arbitration Between Alan LaBonde Claimant vs. First Affiliated Securities Gary Finke Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, Claimant Alan LaBonde who appeared Pro Se, alleged that Respondent Gary Finke recommended the unsuitable investment of a Limited Partners

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane R. Ryan Claimant vs . AWARD Prudential Securities, Inc. James Somes Respondents CASE #91-00032 CASE SUMMARY Pro Se Claimant, Jane R. Ryan, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondents executed unauthorized stock and option trades in her account, forged her si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfeXJURITJES DEBIERS In the batter of the Arbitration Between Name of Mary Aon Barragy, Individually and as Trustee 91-00025 Merrill Lynch, Pierce, Fenner & Smith, Inc. Logan D. Fitch For Claimant: Mary Ana Barragy, Individually and as Trustee, was represented by Carol A. Bavousett, Esq., San Antonio, Texas. For Respondents: Merrill Lynch, Pierce, Fenner & anith. Inc. and Logan. D. Fitch were repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David Cherry and 91-00024 ~ - -*w Name of Respondent. CounterClaimant and Third Party Claimant PaineWebber, Inc. Name of Third Partv Respondent Jeff Hayes REPRESENTATION OF PARTIES Claimant David Cherry was represented by Stuart S. Goldberg, Esq., Austin, Texas. Respondent PaineWebber, Inc. was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of George & Nadine Luther Name of Respondents 91-00021 Smith Barney Harris Upham & Co . f Inc . Ronald Bateh Jeffrey B. Morrison Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimants: For Respondents: Barbara B. Stalzer, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-00020 AWARD In the Matter of the Arbitration Between Richard Fan Claimant vs. First Choice Securities, Inc. Respondent : CASE SUMMARY Richard Fan, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent First Choice Securities, Inc., through their brokers, Glenn Parham, Chris Jones and Daryl Newton, misrepr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas J. Cinalli and Tina Cinalli, (Claimants) vs. Platinum Equities, Inc. and Sean Carey, (Respondents) Case Number: 00-04899 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Nicholas J. Cinalli ("N. Cinalli") and Tina Cinalli ("T. Cinalli"), hereinafter collectively referred to as "Claimants": Adolph D. Seltzer, Esq., a sole practitioner, New York,

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name .of _Cla4inants Paul & Natalie Masnyj of 91-00015 Bear Stearns & Company Jerome Glickman National Association of Securities Dealers. Inc. NASD Rnancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimants Paul & Natalie Masnyj ("Claimants' 1 ): Boris J. Lewychkyj, a so

-roitration ASSOCIATION OF SECURITIES DEALERS :n the Jtetter of the Arbitration Between Name o£ Claimant Robert Schaefer Name of Respondent Jack Fernandez 91-00014 iationai Association of Securities Dealers, inc. NASD Financial Center ;3 '.Vhiienatl Street 'jew r'crK. New fork 10004 For Claimant Robert Schaefer ("Claimant"): Walter D'Ull, a sole practitioner. For Respondent Jack Fernandez ("Respondent") : Jack Fernanda?:, who is

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; i Bateman Eichler, Hill Richards, A division of Kemper Securities Group, Inc. Claimants ; CASE #91-00011 ; AWARD vs. i Ikbal Sheikh / Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 2, 1991, Bateman Eichler, Hill Richards, Inc. through their in-house representative, Brian Lo