N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francisco R. Cuevas 95-00824 Name of Respondent Montano Securities Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 16, 1995, Claimant Francisco R. Cuevas ("Claimant"), who appeared Pro Se, alleged that Respondent Montano Securities Corp. ("Respondent"), failed to pay him

PUBLIC NATIONAL ASSOCIATIO ^ In a Cor.soiidac.ed Matte Arbitration Between John R. Parisen, Thomas E. Messina and Michael A. laRossa Claimants vs . Royce Park Investments, Inc. Michele Palermo Respondents John R. Psfisen vs. Royce Park Investments and Michele Palermo CASE #90-03277 AWARD Thomas E. Messina vs. Royce Park Investments and Michele Palermo CASE #90-03278 AWARD Michael A. LaRossa vs.

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEAI£FS AfMtration National Association o* Stcuritta Dtttan, inc. NASD Financial Canter 33 Whitehall Street New York, New York 10CX In the Matter of the Arbitration Betvreen R.H. Kuhn Co., Inc. Name of Butcher & Singer, Inc. William M. Mackay 90-03271 For Claimant: Itobert S, whitehill, Esq. of Healey, Whitehall, Davidson r Deasy & Hornack. For Respondents: Paula Shaff

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Avrum Aaron and Yigal Marcus vs. Gerber Asset Management, L.LC., f/k/a Balfour Asset Management, L.L.C., Gerber Capital Management, Inc.., and Sander Gerber. Case Number: 00-04576 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Avrum Aaron ("Aaron") and Yigal Marcus ("Marcus"), hereinafter collectively referred to as "Claimants": Jay S. Auslander, Esq., and Natalie S

In the Mattrer of the Arbitration Between Henri Bour vs. Claimant Robert Catoggio and Carl Lanzisera Respondents vs. Mark Ross, Sr. and Mark Ross, Jr. Third Party Respondents Case $90-03239 AWARD SUMARY - Henri Bour, Pro Se, in a claim filed with the National Association of Securities Dealers , Inc . on November 16 , 1990 , alleged that Respondent Robert Catoggio, a registered representative at Individual Securities p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name Of Claimarvbfs} ) ) Donald Kornreich ) ) ) Case No. 90-03231 ) Name of Resrrmctent(s| ) ) Dean Witter Reynolds, Inc. ) Jonathan Peskin ) Heard before the arbitrator: Robert Herschmann, Esq. Public Claimant, Donald Kornreich ("Kornreich"), was represented by Martin V. Feloman, Esq. Respondents, Dean Witter Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00465 Damian Arahill, Claimant vs. Marc Bennett Freeman, Morgan, Taylor & Associates, and Alexander Velez, Respondents. ATTORNEYS: For claimant appeared Leandre M. John, New York, NY. For respondent, Marc Bennett Freeman, appeared Robert L. Herskovits, Esq., of the Law Offices of Michael F. Bachner, New York, NY. For respondents, Morgan, Taylor & Associates and Alexander Velez appe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Leonard Gerstei Sheila Gerstei t vs. llWlll^^Cbnsolidated with 90-03215 of Prudential-Bache Securities, Inc. Filip For Claimants: Leonard Gerstei of 591 Cervantes Drive, Green Valley, NV 89014 For Respondents: Christopher P. Trapani, Esq. of Prudential-Bache Securities, Inc., 127 John Street, New York, NY 10292-0325 .-«• «p-

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03213 AWARD In the Matter of the Arbitration Between Mark 0. Lennon Claimant vs. John Cepeda : Respondent t CASE SUMMARY Pro Se Claimant Mark D. Lennon, in a claim filed with the National Association of Securities Dealers, Inc. on November 14 f 1990, alleged that Respondent John Cepeda, a registered representative at A.L. Williams/First American National Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Roman and Marie Sterlin v. 95-01103 Name of Respondents David Solomon Robert Ford American Trading Securities Corp. REPRESENTATION For Claimants, Roman and Marie Sterlin, appeared Roman Sterlin (pro se). For Respondents, David Solomon, Robert L, Ford and American Trading Securities Corp., appeared Stephen A. Zrenda, Esq. f