N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between") Mama of Claimant/si ) Reuben Klugman ) ) CASE NO. 89-02303 PaineWabber, Inc. ) Robert N. Gest ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Public Arieh Leo Douer Public Tarrence W. Grant Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) ANNA MARIA LUKASZEWSKI TRUST, ) WITOLD LUKASZEWSKI TRUSTEE ) Claimants ) and ) ) CASE NO. 89-02301 ) CALVERT SECURITIES CORP. AND ) KENNETH J. CRYAN ) Respondents ) CASE SUMMARY In a claim filed with the NASD on August 15, 1989, Claimants Witold J. Lukaszewski and Anna Maria Lukaszewski Co-Trustees of the Anna Maria Lukaszewski Ed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Thomas G. Clark, Jr. Claimant ) AWARD- vs. ) CASE #89-02298 Shearson Lehman Hutton, Inc. ) and James Crawford Respondents ) SUMMARY OF ISSUES This case was filed with the National Association, of Securities Dealers, Inc. ("NASD") on August 15, 1989. Claimant alleged that Respondents failed to communicate with him during the life of his account; that Respo

NASID Arbitration w ® National Association of N.A.S.D. AWARD Securities Dealers, inc. One East Broward Boulevard Suite 1000 NATIONAL ASSOCIATION OF SECURITIES DEALERS (305^5^7391' ***** In the Matter of the Arbitration Between ) ) Name of Claimant(3 \ ) ) Rochelle Alexander ) ) ) Case No. 89-02296 ) Narns of Respondent(s) ) ) Shearson Lehman Hutton, Inc. ) Terrell Bebout ) ) Heard before the members of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Manu S. Patel and Kusum M. Patel Claimant(s) vs. 89-02292 Ray R. Mandava Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Manu S. Patel and Kusum M. Patel alleged that Respondents) Ray R. Mandava made unauthorized transactions. Respondent denies any wrongdoing and has instituted a counterclaim in the amount of Two Thousan

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimantl&.\ Philip C. Peterson 89-02289 Mame of Regpon^pTit.t s \ Charles Schwab & Company, Inc. CASK SMART Philip C. Peterson ("Claimant") alleged that Charles Schwab & Co., Inc. failed to properly execute the Claimants order for 1,000 shares of Budget Rant-A-Car Corp. and further that the Claimant's order for those shares should

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Marina Kramarov, Claimants } Roza Zborovsky, ) Semyon Zborovsky ) ) NASD No. 89-02285 vs. ) Alex Neyman Respondent SUMMARY OF ISSUES „ „ Claimants alleged Respondent misrepresented the facts regarding the safety, interest rate stability, constant share value, & accessibility of their funds in the P

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fausto Speranza, Claimant vs. Martin Coffey and Securities America, Inc., Respondents Case Number: 99-02800 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Fausto Speranza, hereinafter referred to as "Claimant": Marc A. Page, Esq., Westerly, Rhode Island Respondents, Martin Coffey, ("Coffey") and Securities America, Inc. ("Securities America"), here

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Carole and Martin Gerstenbluth x Claimants x x CASE NO. vs. x 89-02284 x NK & Co., Ernst & Co., and x AWARD First Montauk Securities Corp. x x Respondents x x CASE SUMMARY Claimant Carole Gerstenbluth ("Mrs. Gerstenbluth") alleged that her broker, Martin Gerstenbluth ("Mr. Gerstenbluth"), entered an order for her account to buy 5

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between George A. and Cyrena M. Dobrinich Claimant(s) vs. 89-02283 A.G. Edward* & Sons, Inc. Respondent(s) NOTICE OF ARBITRATION AHARD CASK SUMMARY Claimant(s) George A. and Cyrena M. Dobrinich alleged that Respondent^s) A.G. Edwards & Sons, Inc. failed to follow Claimants' instructions. Respondent(s) maintain that Claimants authorized the purcahs