N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between"" Name of f!laimmt(3l Paul Pavilack Name Of National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rohda 33301 (305) 522-7391 Case No. 90-01442 Gruntal & Co . f Inc , George Barker Jfeard before the members of the Arbitration Panel: Arthur J. Leibell, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01441 AWARD In the Matter of the Arbitration Between John W. zinter Claimant (s} va. Anthony "Tony" Beck Respondent(s) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1990, Claimant John W. Zinter who appeared Pro Se, alleged that Respondent Anthony "Tony" Beck failed to place a three dollar stop loss order as the Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the Matter of Arbitration Between Sebastian S. Sisti Claimant vs. Case #90-01427 Award Merrill Lynch Pierce Fenner & Smith, Inc. Respondent Heard Before: Edmund S. Twining, Jr. Public Arbitrator Thomas Adamson, IV Industry Arbitrator Angela Desmond Public Arbitrator REPRESENTATION Claimant, Sebastian S. Sisti ("Sisti"), represented himself. Respondent, Merrill Lynch Pierce Fenne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Donald J. Kundinger 90-01424 Name of Respondent: ( s } National Securities Corp. Heard before: Name Public/Industry George Speciale Public Chair Marlene Sine Public Duane Rose Industry CASE STIMMARY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Melville H. Gaughan and Thomas A. Gaughan Claimants vs. Shearson Lehman Mutton, Inc. and William C. Black Respondents AWARD #90-01423 CASE SUMMARY Claimants Melville H. and Thomas A. Gaughan ("Claimants") alleged that Respondents made unsuitable investments in, among other things, a "junk bond" fund and a real estate limited partnership. Clai

ASSOCIKTICT cr sacunrrns -i tfca Matter of the Arbitration Oliver e. snidt ana Macteline L. )0-OI41B cr Oliver H. anixit and MKtelixie L, , Zsq. f of Burch & Cracchioio, P. A. represented by Jlichaal hoenix, Arizona. Shaarson Lahman Hatton, Iix;. Ml HPT, Pitt & JtftmilYr ^ -C. f r^pcesencea by Gerald Maltz, Esq., of In a Statement ot Claim tiled with tha National Association of Securities Daaiers, Inc. ("NASD") on or about June 5

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : James Shen : • • Claimant : • vs. : CASE #90-01416 : AWARD Wellshire Securities, Inc. : Joseph Jenkins, Jr. - : • * Respondents : CASE SUMMARY Claimant, James Shen, in a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1990, alleged that Respondents Wellshire Securities, Inc. and Joseph Jenkins,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between: LEON VALES CLAIMANT AWARD §90-01412 •• SHEARSON LEHMAN HUTTON, INC. JOHN MORAN RESPONDENTS * CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on May 18, 1990. Claimant, Leon Vales alleged that Respondent, John Moran, engaged in unauthorized trades, churning and unsuitable investments in connection with his account at Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAl£RS In the totter of the Arbitration Betroen Name of Claimant (s) Charles Jansky, PR. -Estate Carl Jansky 90-01410 Name nf Dain Bosvrorth Incorporated Casil P. Andritopoulos Public/Industry PUBLIC_ PUBLIC INDUSTOY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on May 17, 1990. Claimant alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth E. Meyer, Individually and as Trustee of the Elizabeth E. Meyer Revocable Trust (Claimants) v. Denise Roberts, Bruce Spence, and Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondents) Case Number: 00-04772 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Eliz