NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Spencer M. Daniels Claimant(s) vs. 89-02754 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Spencer M. Daniels alleged that Respondent(s) Blinder, Robinson & Co., Inc. is guilty of manipulation and misrepresentation. Respondent(s) maintain that Claimant's losses were caused or contributed to by

N.A.S.U. ^ NATIONAL ASSOCIATION OF SECURITIES CEALEBS In the Matter of Che Arbitration Eecween Name of Claiirant.i5| James Joyce Jordan 39-02733 Name of Respopriftnti f SJ Rettler & Company Glenn Siessar Public Public Industry Claimant represented himself. Respondents were represented by Richard P. Greene of the Law Office of Richard P. Greene. This matter was initiated by a Statement of Claim filed with the National Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen and Barbara Kindle Claimant(s) vs. 89-02750 Adam Fox and Sherwood Capital, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen and Barbara Kindle alleged that Respondent(s) Adam Fox and Sherwood Capital committed unauthorized trading. Respondent(s) deny Claimants' allegations and in addition Sherwood Cap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Beverly P. King ) Claimant ) ) AWARD vs. ) ) NASD # 89-02746 Dunman Resources, Inc. ) Pat Preiss ) James Duncan ) Jeff Sherman ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged Respondents solicited her investment in certain limited partnership investments for which she was not suited. Claimant alleged misrepresentations and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the .Matter of the Arbitration Between SHELDON AND LOIS FLATEMAN CONSENT AWARD CLAIMANTS V. 189-02744 P.B. JAMESON CO., INC. AND RUSSELL HADEN RESPONDENTS AWARD - - The undersigned, being the arbitrators selected to review and determine the matter in controversy between the Parties as set forth in submissions to arbitration signed by Claimants Sheldon and Lois Flateman on Novemb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Baruch Coleman, (Claimant) vs. Metropolitan Life Insurance Company, Robert Franke, Monroe Aboyoun, Martin Marino and Robert Becker, (Respondents) Case Number: 99-02849 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Baruch Coleman, hereinafter referred to as "Claimant", appeared pro se. Respondents, Metropolitan Life Insurance Company ("MetLife"), Robert F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen Weiss and Dorothy Perelman 89-02738 Name of Prudential-Bache Securities Inc. Mark Vavruska Vincent Ruma John Arango Claimants, Eileen Weiss and Dorothy Perelman, alleged that Respondents, Prudential-Bache Securities, Inc. ("Pru-Bache"), Mark Vavruska ("Vavruska"), Vincent Ruma ("Runa"), and John Arango ("Arango"), made misrepresentat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between j" ) Name pf_CLflJinBn't(Sl ) ) Lynn & Catherine Corpnan ) ) ) CASE #89-02737 ) ttone^Q^^^BoondfinkisA ) ) Prudential-Bache Securities Inc. ) Walter 0. Barren, Jr. ) Heard before the members of the Arbitration Panel: James R. Kennedy, Jr., Esq. Public Herbert L. Blume Public Allison Hardage Industry CASE SUMMARY

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret Ma Tarn 89-02733 Name of Batanan Eichler, Hill Richards , Inc . Marc Vraciu This case was filed with the National Association of Securities Dealers, Inc. ("NftSD") on November 3, 1989. Claimant Margaret Ma Tarn (Ma Tarn) alleges that Respondent Marc Vraciu while employed with by Respondent Bateman Eichler, Hill Richards, inc. placed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Susan Wilson ) Claimant ) ) AWARD vs. ) ) NASD #89-02730 Shearson Lehman Hutton, Inc. ) Richard King ) Gerry Lukenas ) Richard Cushman ) Respondents ) ) SUMMARY OF ISSUES Claimant alleged breach of fiduciary duty, failure to disclose the risks of margin trading, suitability and fraud by all Respondents in connection with