Arbitration NJLS.U. AWARU National Association of Securities Dealers, Inc. NASD Financial Center NKTICNAL ASSQCIOTICN OF SECURITIES DERLfflS « W ^ lte " a )' l 3tr £*i, New YorK. New York In the Matter of the Ar±>itration Between Name of M. Goldstein 90-00734 Invest Corp. Donna Goard Northeast Savings Case Summary Claimant alleges that she placed put option orders on the major market iniex on O

N.A.S.D. SWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the flatter of the Arbitration Betvreen Name of Claimantfs) Lois & Jerone Solemn 90-00733 Name of M.H. Novick & Ccctpany/ Inc. Michael H. Novick Claimants Lois & Jerome Solonon vsre represented by Reid R. Lindquist, Esq. of Lcnmen, Nelson r Cole & Stageberg, P.A. f Minneapolis, Minnesota. Respondents did not reply to the Statansnt of Claim. Statenent of Claim fi

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lilly Wohlin, (Claimant) vs. Salomon Smith Barney Inc. and Kieran J. Lynch, (Respondents) Case Number: 00-04688 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Lilly Wohlin, hereinafter referred to as "Claimant": Martin J. Siegel, Esq., a sole practitioner, New York, NY. Respondents, Salomon Smith Barney Inc. ("Salomon") and Kieran J. Lynch ("Ly

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF In the Matter of the Arbitration Between Rudolph Horstman and Dorothy Horstman Claimant(s) ARBITRATION vs. AWARD 90-00730 Smith Barney, Harris, Upham & Co., Inc. Respondent(s) CASE SUMMARY Claimant(s) Rudolph Horstman and Dorothy Horstman alleged that Respondents) Smith Barney, Harris, Upham & Co., Inc., the account representative, misrepresented the value of tax free units

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond Gold Claimant vs. Shearson Lehman Button, Inc., and Lester Cohen Respondents x x X X x CASE'NO. x 90-00724 x x AWARD x x X CASE SUMMARY Claimant, Raymond Gold ("Gold"), alleged that the Respondent Lester Cohen ("Cohen"), while employed by Respondent Shearson Lehman Hutton, Inc. ("Shearson"}, deviated f

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I Yu,g Mou Chen : • Claimant i : CASE *9D-QQ723 vs : AWARD » Ch^ng-Hai Saw : Madison Chapin Associates, Inc. t Mark Bolander t t Respondents t CASE SUMMARY Pro Se Claimant, Yung Mou Chen, in a claim filed with tha National Association of Securities Dealer*, Inc. on March 9, 199C, alleged that his broker at Madison Chapin Associate*, Inc., Chenc- hai Saw, reck

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between } ) Name of riaimantfs) ) ) Jack J. Waldnran ) ) ) Case No. 90-00710 Mane of Prudential-Bache Securities Inc. ) David H. Sagerman ) _ ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Judy Avey S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on March 8, 1990. The hearing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Betsreen Name of Claimant^ s^ George Speriak 90-00709 Name of RegponHpnt-1 s > Piper, Jaffray & Ifopwood, Inc. Calvin G. Heisler Bernard Vfoody Claimant George Speriak was represented by S. lee Terry, Jr. of Gorsuch, Kirgis, Cangbell, Walter and Grover Located in Denver, Colorado. Respondent, Piper, Jaffray & Hopwood, Inc. was represented by John S.

NASH N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tfetter of the Arbitration Between Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Julie Jtosbein Nams of Case No. 90-00704 Greentree Securities Corp. Gary Messinger J.F. Lowe & Co., Inc. Heard before the arbitrator: Craig Edward Stein, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between and Among ROMAINE C. MATHEWS, Claimant, Case No. 90-00703 vs. ADVEST, INC., LAWRENCE CORNA AND BOB FOX, Respondents. AWARD Case Summary Claimant Romaine Mathews ("Claimant") alleged that Respondent Lawrence Corna ("Corna") made material misrepresentations to her husband, George Mathews, now deceased, to induce him to purchase Putnam High