NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Connors, Shirley Connors, et al. Claimants vs. Shearson Lehman Hutton, Inc. Respondent CASE* 90-00633 ORDER It is hereby ordered that this arbitration shall proceed on a consolidated basis limited to those Claimants who are named and have filed Submission Agreements in this matter. The hearing will be conducted in Los Angeles, California by a n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen Freund Gaines Claimant vs. 90-00631 Financial Planning Consultants, Inc« and Gary Clermont Respondents REPRESENTATION QF PARTIES Claimant Helen Freund Gaines was represented by Laurence Mass t Esq., Clayton, Missouri. Respondents Financial Planning Consultants, Inc. and Gary Clermont were represented by Kent S, Ghahremani,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles M. Bagley, Jr. f M.D. ) Nancy Bagley, JTWROS ) Claimants ) ) AWARD vs. ) ) NASD # 90-00623 Oppenheimer & Co. f Inc. ) Donald B. Zweibei, Jr. ) Respondents ) ) SUMMARY OF ISSUES Claimants alleged Respondents made unauthorized purchases and sales of common stock in their account while they were out of th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between I£WIS 0. WOQCMARD, JR. Claimant and E.F. HC7TTCN & CCMPANY, INC.; SHEARSGN I£HMAN HUTTCN, INC. and LEFOT JACK NICHOLS Respondents TWITES Lewis O. Wdodward, Jr. was represented by Barry C. Barnett, Esq. of Suattan Gogfrey, E)allas f Texas. * Shearson Lehman Brothers, Inc. and Leroy Jack Nichols were represented by j. Hamilton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of (TlaiTnant(s) ) Jfery L. Ferrarini Name of t (s) ) ) ) ) ) Donaldson Lufkin & Jenrette Securities } Feoner Financial, Inc. ) ) ) ) Case No. 90-00618 Philip Leon For Claimant, Mary Ferrarini ("Ferrarini"): Philip Soyderburn, Esq. of Snyderburn, Rishoi & Swexm. Foot Respondent, Donaldson, Lufk

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between; Lon Weisman, (Claimant) vs. Kirlin Securities, Inc., Radame Gonzalez, Mark Pollack, David Schwartz, Jeffrey Silberman, Josephthal & Co., Inc., and Ryan Beck & Co., LLC, (Respondents) Case Number: 00-04744 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lon Weisman, hereinafter referred to as "Claimant": Richard W. Vallario, Esq., Attorney at Law, Nutley

N.A.S.D. AWARD NKTICNKL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betareen of Mike and Kathleen Magicncaida 90-00617 o Kevin Sullivan Philip Falcone Claimants alleged that Respondent Philip Falcone misrepresented units of J.T. Moran Financial Corporation, guaranteed that the Claimants would suffer IKS losses on the investment of their life savings in this security, and failed to sell the units when requested to d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank And Carolina Ruggiero Claimants AWARD vs . Harvey and Murray Bell Respondents Case #90-00609 CASE SUMMARY Claimants, Frank and Carolina Ruggiero ("Claimants") alleged that Respondents, Harvey and Murray Bell ("Respondents") placed them in an unsuitable investment. Claimants alleged that they told Respondents they wanted to "earn as muc

N.A.S.D. AWARD NAUCNRL ASSOCTAHCW OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Aaron Cohen, Saxa Cohen & Nissim Mansur 90-00598 Name of Respondent (s) E.F. Button & Ccnpany, Inc., T^aHman Button, IDC. ,HOW known as Shearscn r^Hman Brothers, Inc. Susan Hagerty M.W. "Mite" Minces For Claimant: Aaron Cohen, Sara Cohen and Nissim Mansur were represented by Brantly Harris, Esq., Houston, Texas and Sidney L. Fanne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Seneta Claimant vs . CASE #90-00591 AWARD Shearson Lehman Button r Inc. Respondent CASE SUMMARY John Seneta, in a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1990, alleged that Respondent sold securities which were unsuitable for Claimant. Respondent, Shearson Lehman Button, Inc., maintai