NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) SHARRYE J. TAYLOR ) Claimant ) Case No. 89-02479 and } PRUOENTIAL-BACHE SECURITIES, INC. ) ) Respondent ) CASE SUMMARY In a Statement of Claim filed with the NASD on or about September 6, 1989, Claimant Sharrye J. Taylor ("Taylor") alleged that Respondent Prudential-Bache Securities, Inc. (" Prudent ial-Bache") sold Taylor unregistered s

yv/xso Arbitration M.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Attootatlon of Saeurftlat Oaaiara, tnc, NASD Financial Cantor 33 Whitehall Siraat Naw York, Naw York 10004 Edward Mxizelswski vs. First Jersey Securittes f Inc. Sherwood Securities Corp. Shervrood Group Inc. Sherwood Capital j.T. ttsran and Co., Inc. J.T. Moran Financial Corp. W

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02807 Donald Wayne Torres-Schroeder, claimant vs. First Investors Corporation, respondent. ATTORNEYS: Claimant, Donald Wayne Torres-Schroeder, ("Claimant"), appeared Pro Se., Los Angeles, CA. Respondent, First Investors Corporation, ("Respondent"), appeared Ronald J. Roller!, Esq. New York, NY. DATE FILED: June 21, 1999 CASE SUMMARY: Claimant alleged that Respondent breach its fidu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Ruzicka Claimant(s) vs. 89-02474 Profile Investments Corp. and Hank Ross Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Ruzicka alleged that Respondent(s) Profile Investments Corp. and Hank Ross made misrepresentations. Respondent Hank Ross maintains that the Claimant held all of his stock certificates and

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, IN THE MATTER OF THE ARBITRATION BETWEEN Sandra Greenblatt Claimant vs. Case #89-02472 Award Shearson Lehman Mutton, Inc. and Victor Linell Respondents CASE SUWARY Claimant Sandra Greenblatt alleged that the Respondent Victor Linell opened a margin account for her without adequately explaining the inherent risks involved. The Claimant alleged that Respondent Linell subsequently engaged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Alina M. Riverc ) Claimant(s) ) and ) CASE NO. 89-02464 Shearson Lehman Mutton Inc. ) Respondent(s) ) CASE SUMMARY In a statement of claim filed with the NASD on or about September 5, 1989, Claimant Alina M. Rivero ("Rivero") alleged that Respondent Shearson Lehman Mutton Inc. ("Shearson") violated Section 10(b) of the Securities Exchange Act of 1934 a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among ) ROBERT LOPRIORE, 111 ) Claimant(s) ) Case # 89-02462 ) vs. ) Award ) THE STUART JAMES CO., INC. ) Respondent(s) ) CASE SWWARY —•—^—^——- .» - The Statement of Claim was filed on September 5, 1989. Claimant(s), Robert LoPriore. Ill, alleged that he was an un- . sophisticated investor when he opened accounts. with Respondent, The St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha E. Kbessler, Claimant and 89-02458 Martin R. Fishgold, Respondent In a claim filed with the NASD on or about September 1, 1989, Martha E. Koessler ("Claimant") alleged that Martin R. Fishgold ("Respondent") made material misrepresentations and unsuitable recommendations in connection with her purchase of shares of Consolidated Capital In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) BOBBIE E. THOMAS, SR. AND ROZELLA THOMAS and Claimant(s) WADDELL & PEED, INC., PETER COLLINS AND JERRY RICHARDS Respondent(s) Case No. 89-02457 CASE SUWARY In a Statement of Claim filed with the NASD on or about September 5, 1989, Claimants Bobbie and Rozella Thomas ("the Thomas') alleged that Respondents Waddell & Reed, Inc. ("Waddell & Reed"), Pe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert N. White 89-02455 Name of The Stuart James Company, Inc. Anthony Byrne Christopher Murray CASE SUMMARY Claimant Robert N. White alleged that Respondents The Stuart James Co., Inc., Anthony Byrne, and Christopher Murray misrepresented the risks involved in recxmmending securities to him, promised high yield on the misrepresente