Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Yadegar (Claimant) vs. On-Site Trading, Incorporated, Gary Mednick and Joseph Nicquelle (Respondents) Case Number: 00-02876 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Robert Yadegar, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., sole practitioner, New York, NY. Respondents On-Site Trading Incorporated ("On-Site"), Gary

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nathan and Hilda Adari Claimant(s) vs . First Union Brokerage Services vs . Cowen & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 88-01691 CASE SUHKART Claimant(s) Nathan and Hilda Adari alleged that Respondent(s ) First Union Brokerage Services failed to execute and exchange of shares. Respondent First Union Brokerage Services, Inc. maintains t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CHARLES D. WARREN AND SHARON 0. WARREN CIaimants and RAUSCHER PIERCE REFSNES, INC. Respondent CASE NO. 88-01685 CASE SUMMARY In their Statement of Claim filed with the NASD on or about May 23, 1988, Claimants, Charles D. Warren and Sharon 0. Warren ("Claimants") alleged that Respondent Rauscher Pierce Refsnes, Inc. ("Respondent") was responsible for t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles Schwab A Co., Inc. vs. Preetinder Hundal and Nishan Hundal Claimant/ Counterrespondent ) Case #88-01641 ) #88-01657 ) (Consolidated Cases ) Award ) Respondent Counterclairnant Heard before the members of the Arbitration-Panel: Oi April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph and Annette Pandolfino Claimants • AWARD #88-01621 Brian N. Eastman, Sr. Respondent CASE SUMMARY Claimants alleged that Respondent placed them in an unsuitable investment in the Damson Oil and Gas Income Fund without full disclosure of the risks involved in the. investment when the Respondent was aware that the Claimants had low-risk invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between rfing Glogower CIaimant vs. Norstar Brokerage Corp. Respondent Case f/88-01511 AWARD On May 17th, 1989, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Irving Glogower on May 5th, 1988, and by Respondent, Norstar Brokerage Corp. on November 18th, 1988. The arbitrator, h

a flO^i OP. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cowen k Company, vs . Peter J. Aiello, vs . Claimant, Respondent, Viceroy International Securities, Corp., Robert J. Onesti and Stuart Levine, vs . Carl Caserta, Third Party Respondents, Fourth Partv Respondent. X X X X X CASE NO. X 88-01586 X X AWARD X X X X X X

G NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary E. Shaw Claimant vs. Prudential-Bache Securities, Inc. Respondent The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to arbitration signed by the Claimant Mary E. Shaw on April 20, 1988 and not signed by the Respondent Prudenti

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bruce E. and John Barnes Claimant(s) vs . Blinder Robinson & Co., Inc. and Keith Galante Respondent(s) AWARD 88-01474 The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on April 18, 1988 an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) Award Claimant^ ) NASD No. 5^-6146.? vs. ) ) C y Respondent(s) ) SUMMARY OF ISSUES This case was filed on Thn^j fq^'S • (^Jrjjryin,h (tlLi^srA i4\GJc ,kj_ iA HA. infh^:-^di.^4. Ci^hr^ftn. .maAAdo.^ H^ojt KJoPiyvliA.^ hiJocAo/i fAg. ,ij.-\^J:;uALh LiMj.'-k-u-^ ClrLi^AA J— OfJi " Cod f\rJ QM\Ji>r,c^ Tothn.U.C^J Zv^. \ Qnd M^C-^ ^1