N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Name of John M. and Joyce Coutta Case No. 90-02179 Name of Resipondentfsi Bear Stearns & Company Dennis C. Koenning Heard before the members of the Arbitration Panel: Steven D- E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02174 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs . Tickets Only, Inc. Respondent CASE SUMMARY Claimant, PaineWebber, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1990, alleged that Respondent sold stock in its customer account that resulted in a debit balance in said account. Claimant assert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Christine H, Marbach Claimant VS, Shearson Lehman Button, Inc. Respondent CI : SUMMARY CASE +90-02173 AWARD Christine M. Marbach, in a claim filed with the National Association of securities Dealers, inc. on September 7 , 1990, alleged that Respondent Shearson Lehman Hutton, Inc. charged her f?? 0 ^ f °5 35 ° unit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Beatrice L. Nix vs. Claimant The Robinson Humphrey Company, Inc. Shearson Lehman/American Express, Inc. Respondents CASE* 90-02168 AWARD For Claimant: For Respondents: REPRESENTATION David Andres, Esq. Louise Bailey Matte, Esq. of the law firm of Peterson, Dillard, Young, Self & Asselin. CASE INFORMATION Statement of Claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sloan M. Colton vs. Claimant Prudential Bache Securities, Inc. Lee R. Fleischman Evan R. Collins, Jr. Respondents CASE* 90-02166 Heard before: Allen Kilik Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 8, 1990, Claimant Sloan M. Colton alleged the Respondents Pruden

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert D. and Merle R. Baker Claimants va. CASE AWARD John Hubble Respondent CASE 190-02161 CASE SUMMARY Robert D. and Merle R. Baker, in a claim filed with the National Association of Securities Dealers, Inc. on August 6,1990, alleged that Respondent and broker, John Hubble, while employed at Blinder Robinson and Company, Inc., executed unautho

MATIONRL ASSOCIATION OF SECURITIES HEALERS *n the ^fetter of the Arbitraticn Ee".veen Mame Of n a.imam: f .q i Paul & Mary P. Renoa ^"TivROS Mame of Respondent i;s > Prudentiai-Bacne Securities :.~c. Albert C. Adam Heard before: Name. Robert Rose Public James Gormsen Public George Rosen Industry Claimants represented themselves. Respondents were represented by David Becker, Esq. of Prudential-Bache Securities, Inc. This natter wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant, Byung K. Cho 90-02158 Name of Respondents Msrrill Lynch, Pierce Fenner & Smith Inc Robert L. Allen For Claimant: Stephen J. Holden r Esq. of DePere r WI. For Respondents: Michael E. Qlney, Esq. of Marrill, Lynch, Pierce, Fenner & Smith, Inc., New York r New York. Statement of Claim filed: August 7,

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Bateman Eichler,Hill Richaros , Inc . 90-02155 Name of ResporHgnr t g \ George S. Kadey, Jr. Claimant was represented by Theodore F. Gripkey, Jr. , Esq. , 21 Bateman Eichler, Hill Richards, Inc.. Respondent represented himself . K STMMRRY This matter was initiated by a Statement of Claim filed with -he National Association of Se

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02153 AWARD In the Matter of the Arbitration Between Anthony Buonnadonna Claimant vs . Robert Frisco Respondent CASE SUMMARY Anthony Buonnadonna, in a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1990 , alleged that Respondent Robert Prisco made an unauthorized purchase of 1,000 shares of Ventura, Inc. on March 13, 1990- Claimant furth