NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cora Vlach and Viola J. Spencer JTWROS; Cora Vlach and Muriel C. Sather Claimant{s) V3. 89-03334 Donald Berg Respondent(s) NOTICE OP ARBITRATION AWARD - CASE SUMMARY Claimant(s) Cora Vlach and Viola J. Spencer JTWROS; Cora Vlach and Muriel C. Sather alleged that Respondent(s) Donald Berg engaged in unauthorized transactions and invested Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dale K- Nohre, Individually and as Beneficiary of Dale K. Nohre's IRA, Jo Duncan Nohre, Individually and as Beneficiary of Jo Duncan Nohre's IRA, Kendall R. Nohre, Dale D. Nohre, Zilpha Nohre, Maren E. Mason, Individually and as Beneficiary of Maren E. Mason's IRA, and Elwood H. Mason, Individually and as Beneficiary of Elwood H. Mason's IRA, Claimants v. Stock USA, Inc., James Ge

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) CRICKET RICHMOND, ) Claimant, ) vs. } Case #89-03233 ) Award DEAN WITTER REYNOLDS. INC., ) EASTER KRAMER GROUP SECURITIES, IHC. ) and ARTHUR F. SERIO, ) Respondents. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Arnold Sarrow Charles P. Johnson Jr., Esq. •"* * CASE SUMMARY

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the -Matter of the Arbitration Between Hilda B. Druiranond and Norman C. Oruimnond vs. Claimant( 89-03328 ISFA Corp. Respondent(a) AMENDED NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED MARCH 6, 1990 CASE SUMMARY Claimant(s) Hilda B. Drummond and Norman C. Drummond alleged that Respondent(a) ISFA Corp. failed t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the 'Arbitration Between Name of Claimant (s| Richard A. Wheeler 89^03326 Name of Respondent t s i Shearson Lehman Hut ton, Inc. John Srailgin CASE In a Statement of Claim filed with the NASD on November 27, 1989, Claimant Richard A. Wheeler alleged that Respondents acted as follows: 1. Invested his total savings in an unsuitable over-the counter stock; 2.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William G. and Joan Shannon JTWROS Claimant(s) vs. 89-03325 Blinder, Robinson & Co., inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY ^f~ Claimant(s) William G. and Joan Shannon JTWROS alleged that Respondent(s) Blinder, Robinson & Co., Inc. misrepresented material facts as to Claimants' investment. Respondent denies Claimants'

N.A.S.D. AWARD *" NATIONRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between flcapulco Playa Ltd. 89-03320 Shearson Lehman Hutton, Inc. TSSMSS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 9, 1990. Claimant alleged that Respondents engaged in the unauthorized sale of Claimant's stock. Respondents alleged that the liquidation of Claimant's account was authorized, and th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen Harper Claimant(s) vs. 89-03319 Tom Morin Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathleen Harper alleged that Respondent(s) Tom Morin made misrepresentations and failed to execute stock sales. Respondent(s) maintain that at no time was he ever Claimant's account executive nor did he make recommendations reg

.^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/a l * Gracio & Neda Fabris 89-03317 nf 5 * Baraban Securities/ Inc. Hassan Hashiraian. This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 13, 1989. Claimants Gracio Fabris and Neda Fabris allege that Respondents Barahnn Securities Inc. and Hassan Haahanian made

NATIONAL ASSOCIATION OF SECURITIES DEALERS T In the Matter of the Arbitration Between Eric P. Tsai Claimant(s) vs. 89-03316 D.H. Blair & Co., Inc. and Michael Xirinachs Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric P. Tsai alleged that Respondent(s) D.H. Blair & Co., Inc. and Michael Xirinachs committed gross negligence, unauthorized trades and unfair pricing with respect to the handling of C