G NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James R. Hampton Claimant(s) vs . Robert Michael Saflin Respondent(s) NOTICE OF ARBITRATION AWARD 89-03592 CASE SUMMARY Claiinant(s) James R. Hampton alleged that Respondent (s) Robert Michael Saflin made misrepresentations. Respondent ( s ) maintain that Claimant clearly understood and was advised of the risks. All transactions were speci

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bruce Gross Claimant vs. E.F. Hutton & Co., Inc., Respondents John J. Timmer, Dennis Pringle and Eugene 0. OePatie AWARD CASE NO. 89-03580 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 22, 1989. Claimant alleged fraud, negligent misrepresentation, breach of contract, breach o

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Janssen/Meyers Associates, L;P. vs. Case No. 98-00577 Name of Respondent Howard Blumenau REPRESENTATION For Claimant Janssen/Meyers Associates, L.P. ("Claimant") appeared Debra M. Snydei, Zsq. of the law firm Goldstein & DiGioia, LLP, located in yew York, New York. Respondent Howard Blumenau ("Respondent") did not appear at the hearing in this matter.

N.A.S.D. AWARD NATICW\L ASSOCIATION OF SEnjRITIES DEALERS In the Matter of the Arbitrarion Between Name of riaimani-r s | Judith Dwyer 89-03579 Name of Resnprvteni-(s \ Batanan Eichler,Hill Richards, Inc. Newhard Cook & Co. r Inc. Jan Earl Haynes StMMARV OF TSSIIES TTiis case was filed with the National Association of Securities Dealers, inc. ("NASD") on Deceniber 22,1989. Claimants Judith Hansen Dwyer and William Newton Dwyer (I>?yer)

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In. the Matter of the Arbitration Betvveen Harvey Weintraub Claimant vs . Bear Stearns & Company, Inc. ) Roger Sabbah ) Respondents ! ) REPRESENTATION AWARD NASD =89-03572 Claimant was represented by Michael R. Mitcheii^ Ssq. , Attorney at Law, and Respondents wpre represented by o'ayrie ^-i. Barsky of I re 11 & Maneiia. SUMMARY OF ISSUES This case was filed with the National

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary and Beverly Kilkenny Claimaat(s) vs . Drexel Burnham Lambert, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03571 CASE SUMMARY Claimant(3) Gary and Beverly Kilkenny alleged that Respondent{s) Drexel Burnham Lambert, Inc. omitted to state material facts as to Claimants ' Investment with Respondent. Respondent denies Claimants ' allegatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant(s) vs . Patrick Lavato Respondent(s) NOTICE OF ARBITRATION AWARD 89-03570 CASE SUMMARY Claimant(s) PaineWebber, Inc. alleged that Respondent(s) Patrick Lavato has not paid Claimant amount owed on debit balance. Respondent has not answered the claim. RELIEF REQUESTED Claimant(s) PaineWebber, Inc. requested damages o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mohyi A. Refaie Claimant(s) vs . Vanguard Discount Brokerage, Richard McHale and Tim Holmes Respondent(s) NOTICE OF ARBITRATION AWARD 89-03566 CASE SUMMARY Claimant(s) Mohyi A. Refaie alleged that Respondent(s) Vanguard Discount Brokerage, Richard McHale and Tim Holmes misrepresented material facts as to Claimant's investment with Respondent.

NATIONAL^ ASSOCXATXOir" OF" SECUHXTIES^DEALEKS In the Matter of the Arbitration Between David M. Lamoreaux Claimant(s) vs . Allied Capital Group Respondent(s) NOTICE OF ARBITRATION AWARD 89-03565 CASE SUMMARY Claimant(s) David M. Leimoreaux alleged that Respondent(s) Allied Capital Group made material misrepresentations, used high pressure sales tactics and mismanaged Claimant's account. Respondent denies the allegations and ma

NOTICE OF ARBITRATION AHARD 89-03564 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell L. Maik Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(3) [ CASE SUMMARY Claimant(s) Russell L. Maik alleged that Respondent{s) Dean Witter Reynolds, Inc. allowed Claimant to purchase certain securities which were unsuitable investments due to the risks involved and Claimant's financial positio