N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant(a\ ) Sheri D. Stein ) ) Case No. 89-02828 Name of Respondents) ) Robert Davidson ) Heard before the members of the Arbitration Panel: Louise T. Jeroslow, Esq. Harry Polansky Samson Silberman This claim was filed with the National Association of Securiies Dealers, Inc., on October 13, 1989. The hearing was conducted in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Grillo, (Claimant) vs. Salomon Smith Barney and Ed Reyman, (Respondents) Case Number: 99^02852 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Grillo, hereinafter referred to as "Claimant": Alan Berkun, Esq., a sole practitioner, East Rockaway, NY. Respondents, Salomon Smith Barney ("Salomon") and Ed Reyman ("Reyman"), hereinafter colle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. JOSEPH HOBBIKA V. CLAIMANT AWARD 189-02821 OPPENHEIMER & CO., INC. AND ARA MOMJIAN CASE SUMMARY The Statement of Claim was filed on October 12, 1989. Claimant, Joseph Hobeika, alleged that he was a totally unsophisticated investor when he opened a discretionary options account with Respondents, Oppenheimer & Co., Inc. and Ara Momjian. Claimant alleged that Respondents engaged in a patt

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alice Farley Claimant(s) vs. 89-02820 Stephen R. Davis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alice Farley alleged that Respondent(s) Stephen R. Davis failed to sell one of the stocks in her account. Respondent did not respond. RELIEF REQUESTED Claimant(s) Alice Farley requested damages of Eight Hundred Twenty

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Steven H. Wilcomb, ) Individually and On Behalf ) of Chad H. Wilcomb, and ) Susan K. Wilcomb Claimants ) ) vs . ) AWARD ) Bliss Securities, Inc. ) ( formerly known as ) Guildcor Financial, Inc.) ) Stephen Smith, & John Davis Respondents ) CASE NO. 89-02816 SUMMARY OF ISSUES Claimants alleged Respondents breached their fiduciary duty,

N.A.S.O. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinantfs} Phillips J. Goodenough & Bartolero 89-02815 PaineWebber, Inc. Lawrence W. Daly For Claimant: Me. Robert RusJcy, Esq. of Hanson, Bridgett, Marcus, Vlahos ana Rutty. For Respondent, Paine Webber, Inc. : William Montgomery* Esq. of PaineWebber, Inc. For Respondent, Lawrence W. Daly: Michael E. Myers of Gordon & Rees Statement o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Kathleen Leo vs. Joseph Bonura and Wall Street Clearing Co. Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-02809 CASE SUMMARY Claimant(s) Robert and Kathleen Leo Joseph Bonura and Wall Street Clearing Co.< i __ securities for Claimants' account without autnonzitioiVT\a«d that Respondent Wall Street Clearing Co.

N.A.S.D. AWARD NATIONfiL ASSOCIATION OF SECURITIES DEAI£FS In the Matter of the Arbitration Between Jack & Janice Sundheim Name of Respondentfsl Finnet Securites Philip M. Georgeson Robert Young In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on October 11, 1989, Claimants Jack and Janice Sundheim alleged that Respondent Robert Young, while acting as an agent or enployee of Power Securities Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of :.ie Arbitration Between ) BOB EDWARD KENT AND MAXINE KENT ) Claimant(s) ) Case No. 89-02807 and ) \ MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. AND RILEY ETHERIDGE Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about October 11, 1989, Claimants Bob Edward Kent and Maxine Kent ("Claimants") alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cliff and JoAim McKie, Henry & Dora Peck Claimants and 89-02805 consolidated with 89-02806 Alfred (Earl) Milner, First Eagle, Inc., Brennan Ross Securities, Inc., Tri-Bradley Investments, Inc., State Street Securities, Inc. Respondents Claimants were represented by Richard James Goff, Esq., Englewood, Colorado. Alfred (Earl) Milner