WATIONAL ASSOCIATION OF fCURITIES DEALERS, INC. In tne Matter of the Arbitration Betwe'-n J. '•! i M i c"n Dryden Patricia Dryden Claimant- vs. Robyns Capital Corp. Stepnen Guercio Respondents vs. '.•/arren Schreiber Third Party Respondent CASE #89-01676 AWARD CASE SIHWARY In c claim filed with the National Association of Securities Dealers, Ir.c. on June 7, 1989 Claimants J. William and Patricia Oryden alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Donald C. Itepperman 89-01665 Name of Blinder Robinson & Co., Inc. and Thomas Christopherson In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about June 21, 1989, Claimant Donald C. ( "HBDpenoan" ) alleged that Respondent's Blinder Robinson & Co., Inc. ("Blinder Robinson") and Thomas Christopherson ( "Chr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAl£BS In the Matter of the Arbitration Between f flaimanr / e > Alvina Brandon 89-01659, „ * 90-01776 and 90-01769 Name of Resrondervt(s\ Blinder Robinson & Co., Inc. Meyer Blinder Harvey Cohen Blinder International Enterprises, Inc. Alvina Brandon, Sanford 0. Klein, Paul T. Ferda, Jr. and Myrl C. and Nan I. willbanks (collectively referred to herein as "Claimants-) alleged as f

NATIONAL ASSOCIATION OF SECURITIES 1 UiALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Christopher G. Cross & Christopher G. Cross Ltd. Claimants vs. Monmouth Investments, Inc., Robert Amico and Network One Financial Respondents Case #89-01635 AWARD CASE SUMMARY Claimants Christopher G. Cross and Chr ("Claimants") alleged that Respondent Rob while employed with Respondent Monmoui.li misrepresented to the Claimants that h

N.A.S.D. AWARD NATIONAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Arthur Davis, Jr. 89-01589 Name of Respondents) Shearson Lehman Hutton, Inc. Mark W. Bailey StMftRY OF TSSBES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 31, 1989. ^i^jnwni- iii^ttU -j^t. 'Respondents engaged in •.wrongful cr,r.jjuct inciu-iing negligence, unsuitability of investment

U.A.S.D. AWARD •IATIOKRL ASSOCIATION OF SECURITIES DEALERS ;n the Matter of the Arbitration Between Name of Claimants Hsue C. & Tarn Tung 89-01585 Name of Respondent. Anton J. Gerdes, Jr. 1 • >r Claimant: Warren C. ".v'hite, Attorney at Law. '•'•< r Respondent: Jeffrey S. Rosen, Esq. of De Martino Finkelstein Rosen Virga •• Boraks. statement of Claim filed: May Jl, 1989. laimant's Submission Agreement signed on: June 3, 1989. ;

MAY 0 '• RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elvira Zubiaurre vs. Mikai & Co., Inc. Claimant Respondent AWARD #89-01537 Case Summary Claimant Elvira Zubiaurre alleged that Respondent Mikai & Co., Inc. misrepresented a high risk investment as a safe investment creating a loss to the Claimant when the value of the stock dropped significantly. Respondent Mikal & Co., Inc. did not

3.Q/09/00 15:23 Ol 713 840 0038 ALONSO CERSONSKY ®002/005 ' -- Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard Herbertson KitaKa, Claimant vs. J.B, Oxford & Co, Respondent Case Number: 99-3416 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant. Richard Herbertson Kitaka , hereinafter referred to as Claimant referred to as "Claimant": was represented by John Courade, Esq., Austin, TX. Respondent, J. B. O

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marianne Dettinger Claimant vs. Mikal & Co., Inc. Respondent AWARD #89-01536 Case Summary Claimant Marianne Dettinger alleged that Respondent Mikal & Co., Inc. misrepresented a high risk investment as a safe investment creating a loss to the Claimant when the value of the stock dropped significantly. Respondent Mikal & Co., Inc. did not file a Stateme

NATJORtffiiBOCtATlOM OF SECURITIES DEALERS, INC. in tnt Mftitr or tnt Arbitration 9ttwten LARRY 0. L1LE Claimant and CASE NO. 39-01523 ALLIED CAPITAL GROUP, INC. Respondent CASE SUMMARY In • claim filed with tht NASO en or about May IS, 1989, CUIamt Urry 0. Lilt (•CUlBMt") alleged that Respondent All ltd Capital, Inc. Mdt material mlsrtprtstntatlons to induce Mm to purchut comon stock of OTC AmHca and Davin Enttrprlsts. In its ansMtr