NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Wall Street Clearing Company Claimant vs. Case #88-03238 AWARD Larry Davinsky Respondent CASE SUMMARY Claimant Wall Street Clearing Company alleged that Respondent Larry Davinsky was a customer of Beuret & Co., Ltd., and that the Claimant carried the Respondent's account pursuant to the terms of a clearing agreement between the Claimant and Beur

NASa Arbitration 9 N. A. S. D. NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association ot Securities Dealers, inc. NASD Financial Center 33 Whitenall Street New York. New York 1000 In che Matter of the Arbitration Between Stanley S. 1-fcGee vs. Naifle of Respondents. Diversified Equities Corporation Joseph Friscia Frank Ruggieri Marc J. Rothenberg Case it 08-03225 Claijnant, Stanley S. McGee, alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between tjoKn h'/ip vs. 4flc/k- L^cu-fu-Lci- 0-TvcA Claimants ) Award ) ) NASD 1 ) .. Respondents ) ) $- 03004 SUMMARY OF ISSUES This case was filed on ••o..Wb/ /> A ft fj ±: -f fairvy . /{_;• •« >?.:r . -A,if- ..- A/: / u !*• JLi.ii _ _ - . O ..--nil ,i_(r f ' lf '••

Arbitration N.A.S.D. AWARD „_ . . . . . National A»*oc»tfon of S«curitiM OMtert. Inc. Suit* 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Thra« First Nation*; Pta Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Henry 0. Espinosa 88-02947 Bead Kanode and Fitxosrald, Tainan, Inc. Hsnry D. Espinosa ("Claimant*) alleged that Bead Kanode ("RaspDndsnt") * registered representative of Fitzg*tald-Talnan, lie.

N.A.S.D. AWARD ( N7TIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Njffng Of Claimant(ff) Mary D. Jaka 88-02695 Name of l^r sl Pp 1 T| eT1 ^ f s ) Smith Barney Harris Upham & Co., Inc. CASE SUMMARY In a Statement of Claim filed with the NASD on August 25, 1988, and amended on March 5, 1990, Claimant Mary D. Jaka alleged that Respondent Smith Barney Karris Upham & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John R. Lewis Claimant ) vs. ) AWARD Smith Barney Harris Upham ) #88-02589 & Co., Inc. Respondent ) SUMMARY OP ISSUES This case was filed with the NASD on August 15, 1988- Claimant alleged that Respondent acted negligently in the handling of his account. Specifically, Claimant alleged that on October 16, 1987 he placed an order with his broker, employed b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) "Dsk^ ?£LL.rl£~b ) Award C1ain>ant(X) ) ) NASD No. vs. ) 1 TTC hJ j Ifvf. . ) Respondent^ C7 -, > _ ' c —. SUWARY OF ISSUES This case was filed 04 < -u ^ tV CC *(. t-'i^>- U.- V\ C). tv."^* t\J^Ut \t'fc( T ,1 tX —J » J -*• - C-j ^...X t-fCtLotVe ; ^Vt^J ». H_i- . M.-J T./V&..

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert D. Mattia, (Claimant) vs. Gold Country Securities, Inc., Pan American Bancorp., Service Asset Management Company, Insider Trading, and Charles Vaccarro, (Respondents) Case Number: 99-03386 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Robert D. Mattia, hereinafter referred to as "Claimant": Steven B. Caruso, Esq., Maddox Koeller Hargett & Caruso, N

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter z- zne Arsitraticn Between Stanley & Sally :-:ayper, Trustees cr --e Stanley .. 5ally Mayper Trust Dated 7:21 ~? Ilaimar.ts AWARD vs. MASD =38-02919 ?rudential-3ache Securities Marvin Friedman Resoonaents REPRESENTATION Claimants were represented iy John S. Huiskamp, Esq. ?f Duke, Gerstel, Shearer & Bregante, San Diego, California. Respondent Prudential-Bache

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lenore T. Mancini Claimant vs. Blinder Robinson & Co., Inc. David A. Sabens Paul Roussell Respondents AWARD #88-02814 On January 22, 1990 and March 6, 1990 in three sessions in New York City the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant, Leonore T. Mancini