NATIONAL ASSOCIATION OF SECURITIES DEALERS f In the Matter of the Arbitration Between Joseph H. Gauss Claimant(s) vs. 89-02379 Blinder, Robinson & Co., Inc. vs. John Hubble Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph H. Gauss alleged that Respondent{s) Blinder, Robinson & Co., Inc. made unauthorized trades in his account. Respondent(a) maintain that Claimant's 'losses, if any, were caused

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ALEX AND MAURINE SOKOL ) ) Claimants ) and ) ) CASE NO. 89-02372 BLUNT ELLIS & LOEWI, INCORPORATED; ) RODGER 0. PARKER; AND ROGER L. WILKIE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 23, 1989 and an amendment to the claim filed with the NASD on or about March 7, 1990, Claimants Alex and Mauri

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Koberman Phyllis Hoberman Claimants vs. Shearson/American Express Eugene Weiss Respondents CASE 189-02367 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1989 Claimants Robert and Phyllis Hoberman alleged the Respondents Shearson/American Express and Eugcrse Heiss misrepresent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel Rainford Claimant(s} vs. Equities International, Inc., Anthony Havens and John Connelly Respondent(s) NOTICE OP ARBITRATION AWARD 89-02363 CASE SUMMARY Claimant(s) Daniel Rainford alleged that Respondent(s) Equities International, Inc., Anthony Havens and John Connelly failed to follow Claimant's instructions, executed unauthorized

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herman and Alice Hille Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02356 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles Gould Respondents) CASE SUMMARY Claimant(s) Herman and Alice Hille alleged that Respondents) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles Gould mismanaged Claimants' account and disregarded their investment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John R. Sullivan, (Claimant) vs. First Montauk Securities Corp., First Montauk Financial Corp., Herbert Kurinsky, William J. Kurinsky, Norma L. Doxey, Ward R. Jones, Jr., David I. Portman, and Michael G, Pento, (Respondents) Case Number: 99-02803 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John R. Sullivan, hereinafter referred to as "Claimant": Steven

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Heim Claimant(s) vs. Putnam Financial Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02352 CASE SUMMARY Claimant(s) William J. Heim alleged that Respondent(s) Putnam Financial Services, Inc. failed to act upon his request to rectify an incorrect transfer of title. Respondents) maintain that the NASD lacks jurisdicti

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger B. Johnson Claimant(s) vs. 89-02351 Sherwood Capital, Inc. and Kirby Foray Respondent(s) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Roger B. Johnson alleged that Respondent(s) Sherwood Capital, Inc. and Kirby Foray used high pressure sales tactics to induce the purchase of securities which subsequently declined in value. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between James Curtis Beachum II Claimant AWARD vs. Fidelity Brokerage, Inc Anthony Messina Respondents 189-02349 CASE SUMMARY Claimant James Curtis Beachum, II (hereinafter "Claimant") alleged that Respondents Fidelity Brokerage, Inc. and Anthony Messina (hereinafter "Respondents") negligently handled Claimant's account held with Respondent and dela

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank and Patricia Candito Claimant(s) vs. 89-02344 Blinder, Robinson & Co., Inc. and Michael Alterman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank and Patricia Candito alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Michael Alterman made misrepresentations. Respondent(s) maintain that the Claimants