NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) EUGENE R. SALAMON ) ) Claimant ) and ) )CASE NO. 89-01936 LEONARD J. MESSINA and FIRST AMERIGROUP ) SECURITIES, INC. ) ) Respondents ) CASE SUMMARY Eugene R. Salamon ("Claimant") alleged that: 1. Leonard J. Messina and First Ame"rigoup Securities, Inc. ("Respondents") misrepresented and failed to disclose all of the matrial fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Christe Arvanitis and Maria Arvanitis Claimants vs. J.S.C. Securities, Inc. formerly Josephthal and Company, Inc. Respondent Case #89-01932 AWARD CASE SUMMARY This claim was filed on July 6, 1989. Claimants, Christie and Maria Arvanitis, allege that Respondent, J.S.C. * Securities, Inc., formerly Josephthal and Company, Inc., fraudulently

Case *89-01713 N.A.S.D. JNND NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qfi Claimant fa] Margurette Faye and William V. Dew, Jr. Edna Owens and Power Securities Corporation Heard before the members of the Arbitration Panel i John P. Cullem, Esq. H. Steven Holtzman, Esq. Mr. Eugene B. Harper CASE SMART TMs claim was filed with the National Association of Securities, Inc. (NASD) on June

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sara M. Knowles Claimant ) vs. ) AWARD Black & Co., Inc. and Respondents ) CASE NO. 89-01710 George W. Scherzer ) SUMMARY OP ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 12, 1989. Claimant alleged the following: misrepresentation, excessive trading, and unauthorized trading in the management of her

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Keith Egly, Claimant v. William M, Davis, Michael L. Kramer, and Salomon Smith Barney, Respondents Case Number: 99-02721 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Catherine Bland, Esq. Law Offices of Paul W, Thomas & Associates Calrsbad, California For Respondents: Joanne Chormanski, Esq. Salomon Smith Barney Inc. New York, New Y

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry C. and Kathryn E. Watson V8. Claimant(s) 89-01709 Jeffrey W. Pinyon Respondent(s) MOTCCS OF ARBITRATION AWARD CASK Claimant (a) Jerry C. and Kathryn B. Watson alleged that Respondent^ ) Jeffrey W. Pinyon made misrepresentations and unauthorized trades. Respondent(s) denies Claimants' allegations. RKLIBP Claimant (s) Jerry C. and Kath

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrence D. and Janet B. Hull Claimant(s) vs. 89-01701 Power Securities & David Juras Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Terrence D. and Janet B. Hull alleged that his account became untradable when Respondent Power Securities, Inc. closed. Respondents did not defend. RELIEF REQUESTED Claimant Terrence D. and J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Betvreen f ("laimantf s Horace M. Jones of Respondent: 1 s\ Bear Stearns & Company George B. Peters Hill Feinberg CftSE SIMffiRV In a Statement of Claim initially filed with the National Association of Securities Dealers, Inc. ("NASD") on June 9, 1989 f and as later amended on December 17, 1990, Claimant Horace H. Jones alleged as follows:

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph J. Bonfanti Claimant(s) vs. 89-01696 Burt Hochstein and Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SHMMART Claimant(s) Joseph J. Bonfanti alleged that Respondent(s) Burt Hochstein and Shearson Lehman Button, Inc. committed and unauthorized trade in Claimant's account held with Respondent. Respondent(s) d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark A. Fetter Claimant(s) vs. Fitzgerald, Talman and Cecil L. Farris Respondent(s) NOTICE OF ARBITRATION AWARD 89-01687 Claimant(s) Mark A. Talman and Cecil L. did not respond. CASE SUMMARY Fetter alleged that Respondent(s) Fitzgerald, Farris made misrepresentations. Respondent(s) RELIEF REQUESTED Claimant(s) Mark A. Fetter re