Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Manuel D. Leno Revocable Trust, Claimant vs.' Prentice Securities. Inc., and Louis Kornman, Respondents. Case Number: 99-02727 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, Manuel D. Leno Revocable Trust ("Leno"), hereinafter referred to as "Claimant", was represented by Sean Lanphier, Esq., Michael Best & Friedrich, LLP, Milwaukee, Wisconsin. Responde

N.A.S.G. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS !n che Matter of the Arbitration Between Philip E. George 89-02039 Name of Shearson Leiinan Hutton, Inc. Bruce Edwards Heard before: Mame . Public/ Industry Cornelius McAuliffe, Esq. Public Arbitrator Simon J. Tager Public Arbitrator James Fox Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

N.A.S.D. AWRRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' W. Paul Ayers, Jr. Glen A. Koehler Mama of Respondent ( s ) Barrington Nugent Stuart Jones Company, Inc. Stuart Graff Janes w. Padgett Michael Oliva 89-02038 r *-' U CASE SUMMffiY '- W. Paul Ayers and Glen A. Koehler ("Claimants") alleged that: 1. Barrington Nugent ("Nugent"), a registered representative of Stu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David C. Bojanic Claimant(s) vs. Blinder/ Robinson & Co., Inc. and Kevin Marcum Respondent(s) NOTICE OF ARBITRATION AWARD 89-02036 CASE SUMMARY Claimant(s) David C. Bojanic alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Kevin Marcum made numerous misrepresentations, recommended unsuitable investments and mismanaged Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John and Rita Musial Claimant(s) vs. Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-02034 CASE SUMMARY Claimant(s) John and Rita Musial alleged that Respondent(s) Edward D. Jones & Co. failed to execute a trade. Respondent(s) maintain that was aware that a sell/stop order was not available on NASDAQ stock. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Val Mathews, custodian for Brent Mathews Claimant(s) vs. 89-02031 Elliott Bellen and William Calabretta Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Val Mathews, custodian for Brent Mathews alleged that Respondent(s) Elliott Bellen and William Calabretta knowingly defrauded the Claimant by lying about the value of som

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jeff Prupia Claimant(s) vs. 89-02023 Abe Santos Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeff Prupis alleged that Respondent(s) Abe Santos did not pay off debit balance in the account held with Claimant. Respondent(s) did not answer Claimant's allegations. RELIEF REQUESTED Claimant(s) Jeff Prupis requested damages of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter F. Potenza Claimant(s) vs. Lord & Sterling Inc., Michelle Santilli and Dennis Williams Respondent(s) NOTICE OF ARBITRATION AWARD 89-02020 CASE SUMMARY Claimant(s) Peter F. Potenza alleged that Respondent(s) Lord's Sterling Inc., Michelle Santilli and Dennis Williams misrepresented the return to be received on an investment and failed to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rachel Gabbai Claimants) vs. Rose & Co. Respondent(a) NOTICE OF ARBITRATION AWARD 89-02010 CASE SUMMARY Claimant(a) Rachel Gabbai alleged that Respondent(s) Rose & Co. made an improper execution of the trade. Respondent maintains that Claimant is fully responsible for the loss of the transaction. RELIEF REQUESTED Claimant(s) Rachel Gabbai requ

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Richard E. Schmid 89-02008 o R S p T t t s \ Merrill Lynch, Pierce Fenner & Snath Inc Heard before the matters of the Arbitration Panel: John B. Kelley, Eaq. Andrew Bartf ay Patricia A. Shub, Esq. CASE SUMMARY This claim was filed with the NASD, Ire. on July 14, 1989. The hearing was conducted