NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Harry and Vicki Leblanc ) Claimants ) and ) A W A R 0 ) 89-01409 Shearson Lehman Hutton and ) Elroy F. Perrien ) Respondents ) CASE SUMMARY In a claim filed with the NASO on or about April 25, 1989, Claimants Harry and Vicki LeBlanc ("the LeBlancs") alleged that Respondents Elroy F. Perrien ("Perrien") and Shearson Lehman Hutton, Inc. ("She

NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Sylvia H. Foster Claimant(s) vs. 89-01403 Amerimutual Ccrp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sylvia H. Foster alleged that Respondent(s) Amerimutual Corp. made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Sylvia H. Foster requested damages of Two Thousand Dollars and No Cents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) FERDINAND D. SCHUPBACH. ) Claimant, ) ) Case 189-01402 vs. ) Award BARNETT BROKERAGE SERVICES, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: \ H. Steven Holtzman, Esq. Mr. Hal S. Holtsinger Mr. Joseph J. Haverty CASE SUMMARY This claim was filed with the NASD, Inc. on May 11, 1989. The hearing was conducted i

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas M. Walsh, (Claimant) vs. Willard B. Saperston and Saperston Financial, Inc., (Respondents) Case Number: 99-02676 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Thomas M. Walsh, hereinafter referred to as "Claimant": Richard A. Joel, Esq., Joel & Joel, LLP, Oradell, NJ. Respondents, Willard B, Saperston ("Saperston") and Saperston Financial, Inc

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Raphael Cubisino Claimant(s) vs. 89-01401 Monmouth Investments, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Raphael Cubisino alleged that Respondent(s) Monmouth Investments, Inc. failed to execute a sell order at the price quoted. Additionally, Raphael Cubisino alleged that Respondent Monmouth Investments, Inc. exec

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SBJLUU.'i'.UA> DEALERS In the Matter of the Arbitration Between Nans of John A. John D. Miosi Peter Yuhas, Jr. Carmine V. Pardi 39-01880 consolidated with Name of Restxytent (e) First Investors Corporation Jay T. Stainsby a«amBa For Claimants: Charles C. Swanekanp, Esq. of Saperston & Day in Buffalo, New York and Richard Clack, Esq. of Casey, SanrlvE, Jones, Anigcoa & Kelleher in Buf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert Needham ) Claimant ) ) AWARD vs. ) ) NASD NO. 89-01398 PaineWebber, Inc. ) Heidi Rosenbaum ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 12, 1989. Claimant alleged lack of suitability in the trading of options in his account. -* * Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack H. Chabot The Jack H. Chabot Corporation CASE #89-01396 Name of Respondents Prudential Bache Securities, Inc. Richard W. Johnson REPRESENTATION For Claimants: Gary D. Greenwald Esq. and John E. Haller, Esq. of the law firm of Schrim & Greenwald. For Respondent: Prudential Bache Securities, Inc. was represented

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. J In the Matter of the Arbitration Between ) ) PaineWebber, Inc. Claimant/ ) Counter- ) Respondent ) vs. ) AWARD ) Thomas Mull ins Respondent/ ) CASE NO. 89-01391 Counter- ) Claimant ) : j SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 11, 1989. Claimant/Counterrespondent alleged that Respondent/Counterclaiman

N.A.S.P. AWARD Nitiontt AuocvOon NATICNAti ASSOCianCN OF SECUK1TUKS DEALERS SecuritiM OMMr* In NASO Financmi Cemei In the Matter of the Arbitration Between -3 Whitena* Strew 'Jew Vortc. N.Y. 10004 Ifame of Claimant -AX (2121858-4389 Wendy rofruan, M.D. 89-01390 Name of Respcmrimts Robert A. Samoa Eddie A. Miller Robert Blatt Jerry Tarulli For Claimant Wendy CohPn. ("Claimant"): Arthur P. Fisch, a sole practitioner."* For