N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nittofuil Anoctatfon of" SMUritie* DMta>» Inc. NASD Financial Center 33 Whitehall Street New York, New fork 10004 In the Matter of the Arbitration Between Name of Joseph Ragusa and Lee Ragusa vs. Awaj d Case: |f 90-00562 Name of Tteanmvterrt-. Daniel Eigo This claim was filed on February 23, 1990. Claimants, Joseph and Ragusa, contend that they placed an open o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Thomas Hussey 90-00561 Nflme of Graystone Nash, Inc. In a claim filed with the National Association of Securities Dealers, Inc. {"NASD") on or about February 23, 1990, Thomas E. Fftissey ("Claimant") alleged that Graystone Nash, Inc. ("Respondent") failed and refused to execute orders to sell shares of ATC Environtnental , Capital I

NATIOHAL ASSOCIATION OF SECURITIES DEALERS^ HKT. In the Matter of the Arbitration Between Ethan Gologor vs, Philip Cooper Claimant Respondent CASE* 90-00560 AWARD CASE SUMMARY In a claim filed with the National Association of- Securities Dealers, Inc. on February 26, 1990 Claimant Ethan Gologor alleged the Respondent Philip Cooper made various misrepresentations and omissions to him concerning the purchase- and sale of shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between f Arbitration National Association of Securities Dealera, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Shearson Lehman Hutton, Inc. Case No. 90-00554 ) MzCann & Associates, Inc. ) ) ) Heard before the members of the Arbitration Panel: Stephen A. LeClair, Esq. Henry Martin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Name of 90-00553 Deborah D. Ervin, et al. Name of Respondentfs^ KMS Financial Services, Inc. John A. Meyers, Jr. Heard before: Public/Industry PUBLIC INDUSTRY PUBLIC This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 26, 1990. Claimants alleged that Respondents: 1) violated Oreg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between j Name of Seymour & Rachel Knopf ) ) Case No. 90-00551 Name of Respondentfs^ . ) Fred Steve Ginsberg ) John Warren Manning ) A.I. Schweitzer ) Schweitzer & Co. ) Heard before the members of the Arbitration Panel: Robert Herschmann, Esq. Public Harry Polansky Public Calvin D, Cevaal Industry Claimants, Seymour & Rachel Knopf ("th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ttema_of_ClaiiDant:f si Jeff Josephson 90-00550 Name of Itonas A. Tryhane Heard before: Nane Public/Industry Martin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Cosimo Patti industry Arbitrator Claimant, Jeff Josephson ("Claimant") alleged that Respondent, Thomas A. Tryhane ("Respondent") made an unauthorized purcha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen Dong, Lisa Dong and Amy Moy Claimant vs. John Bennett Respondents OATH AND AWARD OF ARBITRATOR 90-00548 1330 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Rhea Gavry ) (formerly Rhea Gavry ) Douglas) Claimant ) ) vs. ) AWARD ) Shearson Lehman Button, Inc. ) William Moseley Respondents ) CASE NO. 90-00542 ) SUMMARY OF ISSUES Claimant alleged Respondents misrepresented the nature of certain investment vehicles, misrepresented the comparability of a Hutton-sponsored government securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name oJ Philip J. Poirer 90-00535 Name nf ^gpTTlrilRntr f 5 ^ PaineWabber, Inc. William "Jeff" Austin Heard before: Name Joseph J. Aron Ronald L. Cameron Larry Maize Public/IT Public Public Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers