N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of £. Herbert Newman and John E. Neuron 90-02412 Mama nf Ttomrnrittrrt^ Jack Fernandez Boucher, Oehmte & Qiinn Bryce Boucher Donald Oehmte Heard before: Robert Gleichenhaus , Esq. Public Claimants were pro se. Respondent Jack Fernandez was pro se. This natter was initiated by a Statement of Claim filed with the National Ass

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph J. Choinski Claimant vs. Michael Coulombre r Ted Rubin and First Fidelity Capital Corporation Respondents Case #90-02410 AWARD CASE SUMMARY Joseph J. Choinski, in a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1990, alleged that Respondents failed to execute his sell order for three thous

Arbitration ~ N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between of Wallace C. Hanger AWARD 90-02404 Name of Respondents Shearson Lehman Brothers, Inc. American Municipal Securities, Inc. Brian Martzolf National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Edward L. B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-4855 Teriena Safari, Ramin Kermanshahi and Farideh Amirsalari Claimants vs. Bluestone Capital Partners and David A. Lazerson, Respondents. ATTORNEYS: Claimants, Teriena Salari, Ramin Kermanshahi and Farideh Amirsalari ("Claimants"), appeared Pro Se., through Teriena Salari, Woodbridge, VA. Respondent BlueStone Capital Partners, L.P. ("Respondent") appeared through its General Couns

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between x x Caroline Potenza x Claimant x x CASE NO. vs. x 90-02400 x First Investors Corporation x AWARD and Henny Reiser x Respondents x ____ x CASE SUMMARY Claimant, Caroline Potenza ("Potenza"), alleged that the Respondents, First Investors Corporation ("First Investors") and Henny Reiser ("Reiser"), engaged in risky and unsuita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^ _ ^ In the Matter of the Arbitration Between u y» v . 0 . ' u * » o jy^3 Name of Claimants -_ Jess & Martha Dicus 90-02398 Name of Respondent Dean Witter Reynolds. Inc. For Claimants at the hearing: Michael A. Meyer, Esq. For Respondent at the hearing: George D. Sullivan, Esq. of Dean Witter Reynolds, Inc., New Yoik, New York. • | X CASE INFORMATION ^

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration -Between Carvei Dillard vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant AWARD NASD #90-02397 CBOE No. 90-NM-9 Respondent SUMMARY OF ISSUES Claimant alleged fraud and breach of contract arising out of his trading in options of the Superior Oil Company in December 1983, and the failure of Respondent to deliver shares on an agreed date.

ArtMtrwton N.A.S.D. AWARD National AsaocMon of Sacuntlm OMtan. Inc. NKTICNAL ASSOCIATION OF SiJLJUKITlKS DEALERS 3 _ _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-^389 Nameof_Claiinant Sandra Lee Wbodall 90-02396 Name of FaineWebber, Inc. Roney & Co. George Brander For Clainant Sandra Lee Wbodall ("Claimant") : Francis C. Flood and James C. Steffi of Reap, Klein, {bphrey & Efrielman, P.C. F

H.A.S.D. AIMD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Genevieve V. Creskey Seal, Trustee Dorothy Strumf eld, Trustee Name of Respondent (s) Argus Securities, IDC. Basil Allison No: 90-02394 For Claimants, Genevieve V. Creekey Beal, Trustee ("Seal") and Dorothy Strumfeld, Trustee ("Strumfeld") s David Sfcrecace, Esq. of Haas, Austin, Ley, Roe & Patsto, P.A. For Respondents, Argus Securiti

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marian F. Dempsey Claimant vs. E.F. Hutton Inc. N/K/A Shearson Lehman Brothers, Inc. Respondent Case #90-02393 AWARD CASE SUMMARY Marian F. Dempsey, in a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1990, alleged that Respondent E.F. Mutton, Inc., now known as Shearson Lehman Brothers Inc., breached its