NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02151 AWARD In the Matter of the Arbitration Between Stephen Arnold Claimant vs. Lombard Securities Respondent CASE SUMMARY In a claim filed wi'th the National Association of Securities Dealers, Inc. on August 7, 1990, Claimant, Stephen Arnold who appeared Pro Se, alleged that on December 28, 1989, Respondent Lombard Securities executed unauthorized trades of stock in his

-NATIONAL ASSOCIATION OF "SECURITIES DEALERS, INC CASE 90-02150 AWARD In the Matter of the Arbitration Between A. Kendell Oulie Claimant vs . Smith Barney, Harris Upham & Co., Inc. Frank G. Zarb Respondent CASE SUMMARY Pro Se Claimant, A. Kendell Oulie, in a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1990, alleged that Respondent Smith Barney, Harris Upham & Co., Inc. , Frank G. Zarb, C

- * 0 Q 1 i 2! 3! 4i SI 6 7i 81 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION NASD Case No. 90-02148 ARBITRATOR'S RULING ON CLAIM ROBERT MIKLOSKI and MASAE MIKLOSKI , v- SENTRA and W. Claimants, SECURITIES CORPORATION SKIP YOUNG, Respondents .

NASID A c: n Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alvin and Judith Rosenfeld vs Name of Respondents Shearson Lehman Hutton, Inc. Irwin Schachter 90-02147 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Ellen G. Margolis, Esq. of Serchuk & Zelermyer. For Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration-Between ) ) Richard B. Stern ) Claimant ) ) AWARD vs. ) ) NASD #90-02145 Douglas McKenzie ) Respondent ) _ ) SUMMARY OF ISSUES Claimant alleged Respondent misrepresented the risks and investment potential of limited partnership units of Columbia Lease II-B. Respondent denied Claimant's allegations and responded that Claimant, an unusuall

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth A. DeLonge, (Claimant) vs. J.W. Barclay & Co., Inc., John Bruno, and John J. Cioffoletti, (Respondents) Case Number: 00-04817 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kenneth A. DeLonge, hereinafter referred to as "Claimant": David K. DeLonge, Esq., Schumann, Hanlon, Doherty, McCrossin & Paolino, Jersey City, NJ. Respondent, J.W. Barclay

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMERS In the Matter of the Arbitration Between Name nf Claimant:fs) Margy M. Chohrach 90-02141 Name of Respondentls) Charles David Young IDS Financial Services Inc. Claimant Margy M* Chohrach appeared gcc. §g. Respondents IDS Financial Services, Inc. and David Young were represented by Steven A. Ashelphol, Esq. of Schumacher and Achelphol. In a Statement of Claim filed with the National

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; r PaineWebber, Inc. ; i Claimant ; ; CASE* 90-02140 vs. ; \WARD t Sorrentino ' / Respondent ; CASE SUMMARY PaineWebber, Inc. by its attorney Joseph F. Generelli, Weehawke.n, N.J. in a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1990, alleged that Respondent and customer Henry Sorrentino, faile

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/si James T. Reay 90-02138 Name of Respondent/s^ Shearson Lehman Button, Inc. Berthold Turner IT/Industry Public/Chair Public Industry \ Claimant was represented by: John Lawrence Alien, Esq. Respondents were represented by: Terry Ross, Esq. of Keesal, Young & Logan. This matter was initiated by a Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerry & Georgianne Ciotola 90-02132 Name of Respondent Spencer-Winston Securities Corporation For Claimants: Appeared pro se. For Respondent: Oscar Echman, President of Spencer-Winston Securities CASE Statement of Claim filed: August 6, 1990. Claimants' Submission Agreement signed: September 4, 1990. Statement of Answe