NATIONS ASSOCIATION or SECURITIES DEALERS. INC. "! THE MATTER OF THE -'RblTRATi'/H B£T'-/ccii k'Mv Mavs Claimant vs. Merrill Lynch, Pierc'" 1 , Fenner *. Smith, [nc. Case «89-00915 AWARD CASE SUMMARY In * claim filed with the National Association of Securities Dealers, Inc. on March 27, 1989, Claimant Tony Mays alleged on or before October 22, 1987 he specifically requested that a stop-loss order of $2 or $3 be placed on all stoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Lepore Claimant(s) vs. Cavid Alfieri and Power Securities Cor-. Respondent(s) NOTICE OF ARBITRATION AWARD 89-008SS CASE SUMMARY Claimant (s) Michael J. Lepore alleged that Respondent ( s ) Eavid Alfieri and Fewer Securities Corp. failed to honor a prcr-ise to reimburse Claimant. Respondent ( s ) maintain that they never promised zo

NATTQvy. HSSOCIflTTQN QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATE BETWEEN Cowen & Company Claimant vs. Henrv Stojowski Respondent "S. Viceroy International Securit'^s •\vin Bakal Sobert Onesti Respondents Case =89-00726 AWARD CASE SUMMARY Claimant Cowen & Company (" ("Stojowski") maintained a ma- Corp. ("Viceroy") which was c ; and for which Cowen extended - deposit sufficient funds in h

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stephen R. & Winifred H. Gregory Claimants ) vs. ) AWARD Shearson Lehman Hutton, Inc. and Respondents ) CASE NO. 39-00670 Harry J. Stamatis ) SUWARY OF ISSUES This case was filed with the National Association of Securities-Dealers, Inc. ("NASD") on March 3, 1989. Claimants alleged the following: lack of suitability, unauthorized trading and excessive trading

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Robert Wolf and Jo Ann Wolf Claimants Case #89-00544 vs. Award Dean Witter Reynolds, Inc. and Len Pumer Respondents CASE SUMMARY Claimants, Robert Wolf and Jo Ann Wolf ("Wolfs"), alleged Respondents, Dean Witter Reynolds, Inc. ("DWR") and Len Pumer ("Pumer"), executed unauthorized transactions of 40 calls Amex Double MN Index. Claimant further all

Arbitration National Association of Securities Dealers, inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AV NATIONAL ASSOCIATION OF SECURITIES DEALERS ~In the Matter of the Arbitration Between Name of_Claimant(s) Joseph M. Aimand 89-00529 Name of Respondentt s.) Donaldson Lufkin & Jenrette Securities Black & Company, Inc. Lawrence Stuart Black Dennis B. Reiter N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Verna Bauer 89-00525 Name of Respondent(s) First Securities Corporation., William 0. Johnson, C.A. Smith and Ronald Hansen CASE In an Amended Statement of Claim filed with the NASD on August 4th, . 1990, Claimant Verna Ramr ("Bauer") alleged that Respondent William D. . Johnson ("Johnson") made false statements for the purpose

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Herbert C. Stine Clamant vs. Kuhn Brothers & Laidlaw, Inc. Respondent CASE SUMMARY Case #89-00435 AWARD Claimant asserts Respondents engaged in unauthorized trades causing losses to the Claimant. The Statement of Claim also asserts breach of Respondents agreements with Claimant and breach of the required fiduciary duty as well as bad faith deali

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Maurice G. Gennaine, as Tustee of the Gennaine Shoes, Inc. Employee's Retirement Plan and 89-00397 Name of Respondents Shearson Lehman Hutton, Inc., George Earl Allen amd Earlene Marie Allen REPRESENTATION OF PARTIES Claimant was represented by Christopher G. Hamill, Esq. of Kalish, Forrester & Torres, Phoenix, Arizona.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the^ Matter of the Arbitration Between Olde Discount Corporation 89-00378 XT 51990 John M. Treff CASE In a statement of cleim filed with the NftSD on or a£;-£. February 8, 1989, Claimant Olde Discount Corporation ("Olde") alleged t.hat Respondent John M. Treff ("Treff") incurred a debt to Olde as a vesult of the liquidation of Treff's margin account balance on October :::., 1987. O