N.A.S.D. NATICKRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mania of Claimant./s\ Zipora Langberg Sutro & Go. Incorporated PainoWobber Group, Inc. John "Sandy" M=Call Jr. 89-03315 For Claimant: Robert Dunn, Esq., of the lawfirm of Bancroft, Avery and McAlistsr (San Francisco, California) For Respondents: Peter Boutin, Esq., of the lawfirm of Keesal, Young and Lagan (San Francisco, California) Stateman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marlene Katz Claimant * Case #89-3308 Award vs State Discount Brokers, Inc. Sherry Bruce and Susan Bell Respondents CASE SUMMARY Claimant Marlene Katz (hereinafter "Claimant") alleged that Respondents State Discount Brokers, Inc., Sherry Bruce and Susan Bell (hereinafter "Respondents") mishandled Claimant's account and failed to follow instr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leonard Gotshalk, Claimant v. Fortress Financial Group Ltd.; Janda & Garrington LLC; Hampton-Porter, Investment Bankers, a California LLP (hereinafter "Hampton-Porter"); Lance R. Dalton; James D. Green; John W. Laurienti; Gregory D. Walker; SmartServ Online, Inc.; and National Union Fire Insurance Co., Respondents Case Number: 99-02933 Hearing Site: Portland, Oregon REPRESENTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Helen H. Lindstran Case # vs. 89-03303 Award Dean Witter Reynolds, Inc. Claimant, Helen M. Lindstran, alleges that Respondent, Dean Witter Reynolds, inc., through ita registered representative advised her to purchase Dean Witter High Yield Securities when she actually wanted to invest in Certificate of Deposits. Claimant contends that Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Melanie Stone Claimant(s) vs. 89-03293 First Alliance Securities, Inc., William Lincoln and Dawn Dailey Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James and Melanie Stone alleged that Respondent (s) First Alliance Securities, Inc., William Lincoln and Dawn Dailey misrepresented material facts, breached the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence E. Jamieson Claimant(s) vs. 89-03292 Judith Petrovich and First Philadelphia Investment Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lawrence E. Jamieson alleged that Respondents) Judith Petrovich and First Philadelphia Investment Group mismanaged' Claimants account by gross negligence, made unauthorized tr

NATIONAL ASSOCIATION OP SECRITIBS DEALERS, INC. Tzvi Ben-Aretz AWARD Claimant Vs. Shearson Lehman Hutton Inc. & Victor Linnel Respondents 189-03291 CASE SUMMARY Claimant, Tzvi Ben-Aretz alleged that Respondents, Shearson Lehman Hutton, Inc. and Victor Linnel exercised control over his account, engaged in unauthorized and improper trading, made unsuitable investments, churned his account, breached their fiduciary duties in their m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pamela B. Marian Claimant(s) vs. Smith Barney, Harris Upham & Co., Inc., and Gary D. Smith Respondent(s) NOTICE OP ARBITRATION AWARD 89-03285 CASE SUMMARY Claimant(s) Pamela B. Marian alleged that Respondent(s) Smith Barney, Harris Upham & Co., Inc., and Gary D. Smith failed to execute trades. Respondent(s) maintain that Claimant had control

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between David M. Albert 89-03273 Xcel Securities, Inc. and Karen Hall In a claim filed with the NASD en or about November 21, 1989, David M.Albert ("Claimant") alleged that X-Cel Securities, Inc. ("X-Cel") and Karen Hall ("Hall") (collectively as "Respondents") abandoned his account. Claimant specifically alleged that the abandonment caused him to panic an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * Christine A. Skrha * Claimant * CASE #89-03272 * AWARD vs. * Norton Morgenthal ik- Respondent + CASE SUMMARY Claimant Christine A. Skrha alleged that Respondent Norton Morgenthal misrepresented to her that he would waive all commissions or monies that he would be entitled to receive from the Claimant's purchase of various Investm