NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sattar Claimant vs . Lawrence Baras, Jeffrey Casdin, and Kenneth Boch " Respondents X X X X X X X X X X X X CASE NO. 90-00702 AWARD CASE SUMMARY Claimant, Dale Sattar ("Sattar"), alleged that Respondents Lawrence Baras ("Saras") and Kenneth Boch ("Boch") improperly executed orders

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David W. Pitts Claimant(s) vs. Securities Settlement Corporation Allegiance Securities, Inc. and Duane LeGate Respondent(s) CASE #90-00699 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1990 , Claimant David W. Pitts who appeared Pro Se, alleged that Respondent Duane LeGate an accoun

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Kruse, (Claimant) vs. Sands Brothers & Co., Ltd. and Peter Pak, (Respondents) Case Number: 00-04687 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter Kruse, hereinafter referred to as "Claimant": Adam C. Silverstein, Esq., Golenbock, Eiseman, Assor & Bell, New York, NY. Respondents, Sands Brothers & Co., Ltd. ("Sands") and Peter Pak ("Pak"), here

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC- In the Matter of the Arbitration Between Debbie L. Hwang Claimant Case #90-00694 vs. Award Shihsuey Pai Respondent CASE SUMMARY Claimant, Debbie L. Hwang ("Hwang") f alleged Respondent, Shihsuey Pai ("Pai"), engaged in unauthorized trading in her account. She further stated Respondent removed money from her margin account to purchase options. Claimant also contended Pai executed th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marisa A. Wahler Claimant vs . Sacks Securities, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-00690 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 marriage to any o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Taggart Inc. t/a Ronald Folk & Co., Ronald Folk, Gary Vogt and Thomas W. Brucia Claimants vs. Lawrence E. Heller Robert Langsam Diversified Financial Management Brekne Corporation USLife Equity Sales Corp. United States Life Insurance Company Respondents CASE* 90-00684 Heard before: Murray I. Sommer, Esq. Jack Friedman, Esq.

_ _ ._ ^^mgm Arbitration ^"^*~*< & N.A.S.D. AWARD National Association of Securities Dealers, Inc. NATICN&L ASSOCIATION OF HJflAttUTnaa DEALERS NASD Financial Center 33 Whitehall Street in the Matter of tha Arbitration Between New York ' New York 10004 Estate of Morton Mailer VS 90-00680 Name of Dean Witter Reynolds, me. Julian H. Gingold Heard before the members of the Arbitration Panel; Mama _ Edward N. sills Public

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Fthe Matter of the Arbitration Between Patrick Merlehan Claimant vs. Robyns Capital Corporation and Castleton Rhodes, Inc. Respondents AWARD Case #90-00679 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6, 1990 Claimant Patrick Merlehan alleged that he sold 250,000 shares of stock for $43,000.00 and a confirmation was issued and a month

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Muriel A. Olsen Name of 90-00678 Martin Lonski Dave Hutchison Hutchison Financial Corporation In a claim filed with the National Association of Securities Dealers , Inc. ("NASD") on or about March 6, 1990, Muriel A. Olsen ("Claimant") alleged that she was not a suitable investor in the stock of ftitchison Financial Group, Inc. Clainant also

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John B. Nardone Claimant ) ) vs. ) AWARD ) Wilshire Discount Securities ) and Gene Roach Respondents ) CASE NO. 90-00669 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 5, 1990. Claimant alleged that Respondents failed to provide a prospectus with Claimant's purchase of