N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Shepherd and Corinne Nathan ) ) Case No. 89-02639 ComWest Securities, Inc. ) Ellen Margaretten ) Herzog, Heine, Geduld, Inc. ) Michael A. Solomon ) Heard before the Arbitrator: Robert Herschmann, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on February 5, 1990. The hearing was conducted in Fort Lauderdale, Florida on Oct

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Gordon Claimant(s) vs. 89-02637 Wellshire Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Gordon alleged that Respondent(s) Wellshire Securities, Inc. failed to properly execute Claimant's sell orders and mismanaged the account. Respondent(s) denied the allegations. RELIEF REQUESTED Claiman

N.A.S.D. AWARD NKTKMRL ASSOdflTICN OF SECURITIES CEAIZRS In the Hatter of the Arbitration Between Anatoly Aimer 89-02636 Stuart Janes Company/ Inc. Daniel Pom Claimant *ll«*y** that tespondents misrepresented securities to him that were highly speculative and executed unauthorized transactions which created losses in his account, nusfeundonts nvilnrninRrt that Claimant specifically requested to speculate in over-the-counter securities, that no

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN William D. Kerner Claimant vs. Prudential-Bache Securities, Inc. Evan Bines Respondents Case #89-02632 AWARD CASE SUMMARY Claimant William D. Kerner alleged that Respondent Evan Bines, an employee of Respondent Prudential-Bache Securities, Inc., made various false representations and failed to disclose material facts in his recommendation to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gerald W. Kralik Claimant vs. Dean Witter Reynolds, Inc. Respondent AWARD CASE NO. 89-02630 2rs of the Arbitration Panel: SUHHARY OF ISSUES This case was filed on September 20, 1989. Claimant alleged unauthorized trading in connection with purchases and sales of stocks and options in Claimant's account between July, 1988 and February, 1989. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tuaha Mian Claimant vs. CASEf 83^02611 89-02627 Donaldson Lufkin & Jenrette Securities, Inc. Smith Barney Harris Upham & Co., inc. Sandy Jukel and Alain O'Hayon Respondents Heard before: Arnold Y. Steinberg, Esq. Public Arbitrator Harry Polansky Public Arbitrator Carl J. Hegner Industry Arbitrator CASE SUMMARY In separate claims

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven B. and Yvonne Myers, JTWROS Claimant(s) vs. 89-02622 Lawrence Robert: Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Steven B. and Yvonne Myers, JTWROS alleged that Respondent(s) Lawrence Robert committed unauthorized trades with respect to Claimants' account held with Respondent. Respondent denies Claimants' all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel J. and Christine A. Gough Claimant(s) vs. 89-02619 First Jersey Securities, Inc. a/k/a Hibbard Brown & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Daniel J. and Christine A. Gough alleged that Respondent(s) First Jersey Securities, Inc. a/k/a Hibbard Brown & Co. used an aggressive high pressure telephone s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between X. Danny Fouladpour Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Jerrard Whittacre Respondent(3) NOTICE OP ARBITRATION AWARD 89-02618 CASE SUMMARY Claimant(s) K. Danny Fouladpour alleged that Respondent(s) Blinder, Robinson & Co., Inc. made misrepresentations and mismanaged Claimant's account. Respondent Blinder, Robinson & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Among Carolyn Gross Claimant vs. Case #89-02617 AWARD First Fidelity Capital Corp. and Bernard McGee and Michael Columbre Respondent CASE SUMMARY Claimant, Carolyn Gross ("Gross"), alleged Respondents, First Fidelity Capital Corp. ("FFCC"), Bernard McGee ("McGee"), and Michael Columbre ( "Columbre ") , recommended unsuitable investments, executed unauthorized