NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean and Marcia McHan Clairaant(s) vs. 89-03241 Fidelity Investments and Fidelity USA Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean and Marcia McHan alleged that Respondent(s) Fidelity Investments and Fidelity USA are guilty of breach of contract and negligence. Respondent (a) maintain that to award money damages

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Harry Shum ) ) Case Ho. 89-03240 G.K. Scott & Co. Inc. Heard before the Arbitrator» Leonard H. Davidson, Esq. CASE STMAKT This claim was filed with the NASD, Inc. on November 17, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 13, 1990 with a total of one session. Claimant, Harry Stan ("Shun"), alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Samuel T. Oigate Claimant vs. Donate DeMarinis and Jay Vermonty Respondents Case #89-03239 Award CASE SIBtMRY Claimant Samuel T. DIGate (hereinafter "Claimant"), alleged that Respondent Donato DeHarinis (hereinafter "DeMarinis") and Jay Vermonty (hereinafter "Vermonty") made material misrepresentations to Claimant and failed to properl

N.A.S.D. AWARD «' NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimanti8V Janet M. Gill ) ) 89-03237 IJagj^jjJ^RgSjggn^gnjSjJ^L ) Dean Witter Reynolds, inc. ) Robert F. Finnigan ) Heard before the Arbitrator: Stephen A. LeClair, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 17, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 28, 1990, wi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02926 Ammar Ateyah, claimant vs. Ameritrade, Inc. respondent. ATTORNEYS: Claimant, Ammar Ateyah ("Claimant"), appeared Pro Se., Gainesville, FL. For Respondent Ameritrade, Inc. ("Respondent"), James J. Vihstadt, Ameritrade, Inc. Bellevue, NE. DATE FILED: June 28, 1999 CASE SUMMARY: Claimant alleged that because of a margin call and Respondent's inefficient

N.A.S.D. NAUCNRL ASSOCIATION OP SECURITIES DEALERS In the Matter of tte Arbitration Between Suit* 1«80 Thru f\m National Chicago, H. «0«02 (3121 899-4440 George j. and Barbara E. Tenneasen 89-03235 Stuart Bianchi and Securities, Inc. tfcttman In tteir Statement of Clain Genoa alleged varioua ftm of InfoaHtion by Stuart Blanch! ( to thai of detain limited partnership the cl«ba« of tte and withholding of oxnocticn «

Arbitration N.A.S.D. AWARD National Aasociation of . Sacuritias Daalars. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALEPS Three First National Plaza Chicago. IL 60602 (312) 899-4440 In the totter of the Arbitration Between Name of Claimant(s\ McDonald Whang 89-03231 Name of P**f*cr' n ''iBn.ti(S). Prudential-Bache Securities Inc. Ken Chai J.H. Kim CASE SOMRT McDonald Whang ("Claimant") allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Esposito 89-03224 Hyer, Bikson & Hinsen, Inc. and David G. Ninci David w. Esposito ("Claimant") alleged that an agent of Hyer, Bikson & Hinson, Inc. ("Respondent") made unauthorized trades in Bailey options, index options, and Wolverine World Wide stock. (David G. Ninci was dismissed as a party to this action without prejudiced since he was n

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter'of the Arbitration Between ) ) THEODORE AND JOAN LORENC, ) Claimants, ) ) Case #89-03223 ) Award vs. ) ) OLDE DISCOUNT CORPORATION, ) Respondent. ) ) Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on November 16, 1989. The hearing was conducted in Tampa. Florida on May TL5, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CAROLE W. DAVIS CLAIMANT V. AWARD #89-03220 SHEARSON LEHMAN HUTTON, INC. AND CHARLES LEWIS RESPONDENTS CASE SUMMARY The Statement of Claim was filed on November 16, 1989 Claimant, Carole W. Davis alleged that Respondent, Shearson Lehman Button, Inc. and its agent, Charles Lewis a Vice President and Financial Consultant deliberately, wantonly and recklessly engaged in unsuitable tra