NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. »»^~w»i*M«»«»«»a»w*»M«MMWw4» M , WW w«p«. w _ M __ w ^ MA _ 4WWl _ WWM , WM , In the.. Matter-of_.thfi Arbitration Batween- Paul Riviere Bonnie Riviere vs. Claimants CASE* 89-02728 Charles Schwab & Company, Inc. ~ Monroouth- Investments ,_inc.- Securities Settlement Corporation Wall Street Clearing Company John T. Moyl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark D. McWilliams Claimant(s) V8 . 89-02721 Graystone Nash, Inc. Ed Ellis Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Mark D. McWilliams alleged that Respondent(a) Graystone Nash, Inc. and Ed Ellis made misrepresentations. Respondent(s) maintains that the Claimant is a disgruntled customer who is unhappy that he

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant;(s^ Robert A. Chillemi 89-02714 vs. Name of Respondent(s) Wall Street Clearing Co. Michael Morfit CASE SUMMARY Claimant alleges that unauthorized purchases were made of $24,000.00 of stock. Respondent Wall Street Clearing contends that if the trade was authorized then Claimant should pay for the trade and if the tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between i ) Peter Musto and Judith Musto Hachman, Trustees Claimants ) ) AWARD vs. ; ) NASD *S9-02711 Dean Witter Reynolds, Inc., ) Robert Granigen and ) Charles Cabrera ) Respondents ) SUHH&RJ j?g ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 28, 1989. Claimants are the surviv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ralph Glance Claimant vs. Robyna Capital Corporation Castleton-Rhodes, Inc. Hasan Growney Co., Inc. David Iglicki ) ) AWARD ) NASD #89-02710 ) Respondents SUMMARY OF ISSUES Claimant alleged Respondents Robyns Capital and David Iglicki made material misrepresentations of fact concerning Powertech and Northern Information Technolog

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Allan Wertheim Diane Wertheim vs. PaineWebber, Inc. Paul Katz Claimants ) ) AWARD ) NASD NO. 89-02709 Respondents SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 28, 19J9. Claimants alleged lack of suitability, breach of fiduciary duty* and misrepresentation in the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Cruttenden Roth Incorporated, (Claimant) vs. JosephthaJ & Co., Inc., (Respondent) vs. Scott Weisman (Third-Party Respondent) Case Number: 99-02841 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Cruttenden Roth Incorporated, hereinafter referred to as "Claimant". Jay L. rlimes, Esq., Paul, Weiss, Rifkind, Wharton & Garrison, New York, NY. Previously represe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, inc. One East Sroward Boulevard Suite 1000 Ft. Uuderdale. Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between: Name of Name of Respondent^) CASE 189-02698 Dean Witter Reynolds. Inc. Robert Steinlauf and Richard Ten Evck Heard before the members of the Arbitration Panel: Casey W. Mills, Es

Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Canter 33 Whitehall Street New York, New York 10004 Joan Arndt vs 89-02697 Steven. Hanna For Claimant: Victor Msvorah, Esq. For Respondent: Thomas G. Anon, Esq. of Anon & Sabatini casg Statement of Claim filed: September 27, 1989. Claimant's Submission Agreement si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In rJie Matter oz the ArDitration Between Frank C. Antonovich Eve Nichols Elsa, Richard J. and Dennis J. Bucoio 99-03694 89-02699 (Consolidated Case) 39-02704 snt^^ Batenan Eichler,Hill Richards, Inc. Melvin M. VUkcevich Heard before: Herman R. Friedberg, Esq. Public Ian L. Sitren Public Luther D. Prater Industry These matters were initiated by Statements of Claim