Award NASD-Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Carmen T. Perillo Names of the Respondents Barry Alan Kaufman Mark David Kaufman LH Ross & Company, Inc. Berry-Shino Securities, Inc. Salomon Grey Financial Corporation Case Number: 02-04486 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Carmen T. Perillo, h

N.A.S.D. psum NATICNAL ASSCriATICN OT SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Rsynolds, Inc. 89-03136 Mama of Ram^|wvtoni-7 • i Stanton Pierce Claiirant, Dean witter Reynolds, inj., alleged that Iteeponctenb, Stanton Pierce, waa finployed as an Axx>unt Exacutlve by Cladjuant fron Friacuary 1, 1989 through Juna 9, 1989. ClaiiMtnt further stated that (for value received) Respondent executed and deliv

N.A.S.D. AWARD NATICNAL ASSCriATICN OF SECURITIES DEAI£RS In t:he Matter of the Arbitration Between Wamf^ nf Claimant(s) Marshall F. Carrpbell Jr. 89-03089 Name of Respondent's^ A.G. Edvi^rds & Sons, Inc. Benjamin F. Edwards III John P. Morgan Heard before; Name Public/Industry Stephen Cesso, Esq, Industry Arbitrator Rcterta IXivamey Industry Arbitrator Bill Aziz Industry Arbitrator CASE SamKFPT This matter was initiated by

VolumeNumber, ArbKratlon N.A.S.D. AWARD National Association of Securities Dealers, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS T^^'^ee First National Plaza Chicago, IL 60602 < 312J 899-4440 In the Matter of the Arbitration Betv^n nf r.laimantfs^ Craig R. Grossnan 89-03088 Name of Tteapondent f s 1 Marich (R.B.) Inc. Craig Grossman ("Claimant") alleged that R.B. ^farich, Inc. ("Respondttit") 1) failed to pay cont

N.A.S.D. AWARD MATICNAL ASSOCIATICN OF SBCURITIES DEALERS In the Matter of the Arbitration Between Rochelle & Jason Schv^tz 89-03023 Van Oren Partners Wbodnan Center Partners Santa Monica-Sawtelle Center Partners Tanpa-Victory Center Partners aka Burbank Rancho San ^torcos Partners Harbor-Endinger Partners Sun City Shopping '.enter i-'^izrt.riers Bakersiield Shopping Center Partners El M^nte Shopping Center Partners Westlake-Gvergr

N.A.S.D. AWARD riATIOr^AL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between name o^ c: Bradley Cuveiier 89-03017 '•J^lishire Securities Inc. CASE SIIMMARY Claimant alleged that Respondent misrepresented tJie sale of caimon stocJc 't.iie ' laimant and failed to follow the Claimant' s authorized instructions to ^eii shares in his account. Respondent naintainsd that the actions ccmpiained of v«re the fault of the firm's f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James E. Trice Claiinanr; vs . Prudential-Bache Securities, Inc. Respondent AWARD NASD #89-03394 REPRESENTATION Claimant was represented by L.S. Chip Edelson, Esq. of Gray, Cary, Ames & Frye, Respondent was represented by Gilbert R. Seroca, Esq. of Orrick, Herrington & SuLcliffe. SUMMARY OF ISSUES This case was filed with the National Associat

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitxation Betvreen Name of Claimantfsl Rose Jacobson and Joan Astrin 89-03379 & 90-00693 (consolidated cases) Name of Restxjndentfs^ Fuhrman Matt Securities, Inc. Mark Scheinbaum CASE SUMMARY Claimant Rose Jacobson alleged that Respondents executed unauthorized, unsolicited trades in municipal trusts in her account creating losses for her. Clainant Joa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Roland F. Anderson ) vs . Shearson Lehman Hutton, Inc, Claimant ) ) Respondent AWARD NASD #89-03312 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD")on November 27, 1989. Claimant alleged that during the first quarter of 1989, his net commission payout was wrongfully withheld without not

;gion N p Volume , Kumh^^_ ?0UOSC Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATICW OF SECURITIES DEALERS In the Matter of the Arbitration Bet^fl^en NamP nf Claunantfs^ Phyllis Moor 89-0296 Name Ro«^|nnrk>n1-(«| David A. Noyes & Company r National Association of Securities Dealers,, Inc. Suite 1680 Three First Natioriat Piaza Chicago, IL 60602 (312) 899-4440 DEC I 8 1990 CASE StMART Phyllis A. Moor ("Claimant"