NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between , } David Ferrari and ; Richard Ferrari ; Claimants ) ) AWARD vs. ) ) NASD #89-02153 Dean Witter Reynolds, Inc. ) Jack Hanley ) Respondents ) ) SUMMARY OF ISSUES This case was filed with tha National Association of Securities Dealers, Inc. ("NASD") on July 25, 1989. Claimants alleged Respondents breached their fiduciary duty by r

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward N. Livesay Claimant(s) vs. 89-02131 Blinder, Robinson & Co., Inc. and Gregory George Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edward N. Livesay alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Gregory George misrepresented material facts concerning Claimant's investment with Respondent. Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Manner of the Arbitration Between Donald and Dianne Mathewson Han BBSDQnd Johnston, Lemon & Company Winthrop Securities Company, Inc. Care #89-02127 CASE SUMMARY Claimants, Donald and Dianne Mathewson (hereinafter "Claimants") alleged that Respondents, Johnston, Lenon & Company (hereinafter "Johnston, Lemon") and Winthrop Securities Company, Inc. (hereinafter "Win

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane Ranker CASE #89-02118 Name of Rcgrmrytont- / s \ Shearson Lehman Hutton, Inc. Frank E. Cooper III Frank Powers/ Jr. and Donald Law Heard before the members of the Arbitration Panel: George Felos, Esq. Public William G. Kline Public Randall T. Stack Industry Claimant, Diane Ranker ("Ranker"), was represented by William L. Lyman

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bobby Jew Claimant vs. Wakefield Financial Corporation Wall Street Clearing Company Alexander Minella Parsons Eng Respondents Michael Carber and Terry Akers AWARD #89-02114 Case Summary ' Claimant Bobby Jew alleged that Respondents Wakefield Financial Corporation, Wall Street Clearing Company, Alexander Minella, Parsons Eng and Michael Car

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HELEN WEILE, ) Claimant. ) ) Case #89-02113 vs. ) Award PRUDENTIAL-BACHE SECURITIES, INC., ) Respondent. ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Ron Pekoe Mr. Joseph J. Haverty CASE SUMMARY This claim was filed with the NASD. Inc. on July 25, 1989. The hearing was conducted in Tampa, Florida on July 20

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between David M. Gattegno VS. Claimant Shearson Lehman Mutton, Inc. Charles R. Perlwitz Respondents CASE #89-02111 AWARD CASE SUWARY Claimant, Daniel M. Gattegno, alleges that he informed Respondents, Shearson Lehman Mutton, Inc. and Charles R. Perlwitz, that he wanted to invest in Treasury Bond and that Respondent convinced him to invest in Ginnie Mae's

I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of "the Arbitration Between Zev Oman CLAIMANT and " Merrill Lynch, Pierce Fenner & Smith Inc. and t '•'• James Akins RESPONDENTS . ~£p i - IQ ~ In a claim filed with the NASD on or about July 25, 1989, Claimant~Zev Onan ("Claimant") alleged that Respondent Merrill Lynch, Pierce Fenner & Smith Inc. ("Merrill") and Respondent Janes Akins ("Aki

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allen Steinberg r- 99-02732 ; nf the Bernice Levine Lerner; Brian Scanlon; Suzanne D. Scanlon, d/b/a Dansue Associates; Jeffrey Gray; Peter Carrao; Shane Ferras; Stephen Palumbo; John Bosco; Joseph J. Tuozzo; The Harriman Group, Inc., fk/a HGI, Inc.; and Mark Arthur Hanna Hearing Site: Indianapolis, Indiana RFPPT7SFNTATT01V PAPTTFS Claimant

MAY 08 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Ponds, Jr. Claimant vs. Smith Barney, Harris, Upham & Co., Inc. Timothy K. Saint-Maxen Respondents AWARD #89-02104 Case Summary Claimant Richard J. Ponds, Jr. alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. and Timothy K. Saint-Maxen placed his account into illiquid limited partnerships and that these limite