NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott Diamond Claimant(a) vs. 89-01451 Thomas D'Auria Respondent(8) NOTICE OF APBITRATION AWARD CASE SUMMARY Claimant(s) Scott Diamond alleged that Respondent(a) Thomas D'Auria engaged in unauthorized trading in Claimant's account. Respondent(s) denied all allegations by Claimant. RELIEF REQUESTED Claimant(s) Scott Diamond requested damages of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL F. LITTLE, INDIVIDUALLY ) AND AS TRUSTEE, } ) Claimant ) and ) ) CASE NO. 89-01446 ) DREXEL BURNHAM LAMBERT INCORPORATED, ) ) Respondent ) CASE SUMMARY Michael F. Little ("Claimant"), individually and as Trustee of the John Pat Little, Jr. and Michael F. Little Usufructuary Trusts and as successor to the Marjorie A. L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02682 Olde Discount Corporation, claimant vs. Frank J. Fortuso, respondent. ATTORNEYS: For Claimant Olde Discount Corporation, ("Claimant"), Aaron L. Kleid, Esq. in-house counsel for Olde Discount Corporation. Detroit, ML Respondent, Frank J. Fortuso did not submit an answer to Claimant's Statement of Claim. DATE FILED: June 11, 1999 CASE SUMMARY: Claimant

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John and Margaret Powers Claimant(s) vs. 89-01442 Gary Keller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John and Margaret Powers alleged that Respondent(s) Gary Keller changed Claimants' account to a margin account without Claimants' knowledge and executed unauthorized transactions. Respondent(s) maintain that Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gopesh K. Sharma Clalmant(a) vs. 89-01433 Dana Law Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gopesh K. Sharma alleged that Respondent(s) Dana Law placed Claimant's funds in an inappropriate investment.. Respondent (s) maintain that Claimant was aware of the nature of the investment. RELIEF REQUESTED Claimant(s) Gop

NASO Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert & Jane Near Name of Respondent ^ s ) E.F. Hutton & Company, Inc. Shearson Lehman Hutton, Inc. Michael Alioto 89-01430 National Association ot Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimants, Robert Near and Jayne Near were represented by: Lawrence S.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Enrique Uribe Claimant vs. Wellshire Securities, Inc. Respondent and Third-Party Claimant vs. Nicholas Ferrer Third-Party Respondent AWARD #89-01422 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on May 15, 1989 Claimant, Enrique Uribe, alleged that, Respondent, Wellshire Securities, Inc., deceived him, made false and incomplete disclosures and charge

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jean Pierre Renault Claimant(s) •va. 89-01418 The Stuart-James Co. and Xavier Poirier Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jean Pierre Renault alleged that Respondent(s) The Stuart-James Co. and Xavier Poirier made misrepresentations and an unauthorized trade. Respondent(s) maintain that Claimant suffered no damag

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Cowen & Co. Claimant vs. Case *89-01415 AWARD John Andrews Respondent CASE SUWARY This claim was commenced initially on May 15, 1989 by Claimants Cowen & Co. ("Cowen") against Respondent John Andrews ("Andrews") and arises out of a certain account held by Respondent from January 23, 1987 to August 11, 1987. Claimant asserts that on January 23, 1

ATIONAL ASSOCIATION OF SECURITIES DEALERS Iji the Matter of the Arbitration Between Randall E. Butcher vs. Claimant(s) 89-01412 Morunouth Investments and Neva Elliott Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Randall E. Butcher, alleged that Respondent(s) Monmouth Investments and Neva Elliott failed to execute an order. Respondent(s) did not defend. RELIEF REQUESTED Claimant(s) Randall E. Butcher