NATIONAL ASSIXIATION OF SECURITIES DEALEPS, Z^. In the Ts/fefcr of the Arbitration BebMsai:- BEAR STEARNS & CO., INC. , cQ.adman't, -and- POMPANO-WINDY CITY PARTNERS, LID., STEPHAN J. LAWRENCE, and EAST WIND ASSOCIATES, LTD., Respondents. lb. 88-00564 AWARD THE PARTIES Claimant Bear Stearns & Co. , Inc. ("Claimant" or "BearS*^®^^^"^ is a registered broker-dealer ^i^liose activities include actLng as a clearing broker. Respondents Pon

NATIONAl ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ronald C. Kerston Claimant ) :ase (^8-0045] I vs. ) Awi^rd Blinder Robinson & Co., Inc. j Clifton Kelso Respondents ) ) ) ) The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties February

^loiliH AWARD 88-00416 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Chrones Claimant(a) vs . Drexel Bumhjun Lambert, Inc. Respondent(s) The Arbitrator, Janet Weiss, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, sat forth in a submission to arbitration signed by the parties on March 25, 1988 and September 31, 1988, respectivel

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Vc;/. Z kJb.5 In the Matter of the Arbitration Between THOMSON MCKINNON SECURITIES, INC., Claimant, V9 . CARMEN AND HOWARD BERNSTEIN, Respondents Case #88-00409 Award CASE SUMMARY This claim was filed with the NASD, Inc. on February 8, 1988. The hearing was conducted in Tampa, Florida on January 19, 1990, with a total of one session. Claimant Thomson McKinnon Securities, Inc. ("TMK")

J ! NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wallace J. Stiving, Claimant, vs. ) CASE NO 88-00260 Prudential-Bache Securities, Inc. Respondents James Trice Prudential-Bache Securities, Inc., Counter-Claimant, vs. Wallace J. Stiving ) Counter-Respondent) SUWARY OF ISSUES This case v\as filed with the NASD on January 25, 1988. The underlying court action v\as filed in the Superior Cour

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In tne Matter OT tne'Aroitration BetwSfih Claimant(^ vs. Respondent(s CASE # — AWARD On MAV ISfe^ . the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant(s) The arbitration panel, having considered the pleadings, the testimony, and the evidence presented at the hearing, has determined in ful 1 and final resolution

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ^nQV^^ ) K EMIL AND WENONAH WALSH Claiinant(s) and SHEARSON LEHMAN BROTHERS, INC. AND RICHARD WEINBERG Respondent(s) CASE NO. 88-00214 CASE SUMMARY Claimants Emil and Wenonah Walsh (Claimants) alleged in a claim filed with the NASO on January 22, 1988, that Respondents Shearson Lehman Brothers, Inc. (Shearson) and Richard Weinberg (Weinberg)

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Almash (Claimant) vs. R.M. Stark & Co., Inc. and Andrew J. Mullane (Respondents) Case Number: 02-03849 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Steven Almash ("Almash") referred to as "Claimant": J. Anklowitz, Esq., The Law Office of J. Anklowitz, Bohemia, NY. Respondent, R.M. Stark & Co., Inc, ("RMST"): Ellen Adler, R.M. Stark & Co., Delray

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sara May Schmunk Claimant vs. First Southern Investment Corp., Allen Browsky, Frank Beth, Richard Hoffman, Jr. Respondents Case #88-00152 Award On April 18, 1989, the undersigned arbitrators heard the controversy between the parties .as set forth in submissions to arbitration signed by Claimant on January 14, 1988, by Respondent Allen Borowsky on

Arbitration NATIONAL ASSOCIATIOM OF SECURITIES DEALEP.3 the Matter of the Arbitration Between Name of riaimantfs^ Sutro & Co., Inc. Nationat Aaaoeiatlon ot SacurittM Oaaiaiia. inc. 425 California St.. Rm. 1400 San Franctsca 0\ 94104 (415) 781-3343 FAX: (415) 362-91J46 78-00105 Grove H. Wakefield Judith J. Wakefield Ronald E. Miller .Jay Gibbons Craig Machtinger case vas fileci with the National Dealers ("NASD") on J