NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary H. Popovich and Valerie Rae Gould, JTWROS vs. Kenneth Workman Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-00506 CASE SUMMARY Claimant(s) Mary H. Popovich and Valerie Rae Gould, JTWROS alleged that Respondent(s) Kenneth Workman misrepresented material facts with respect to Claimants' investment with Respondent. Respondent(s) d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Danny P. Hurles Claimant(s) ARBITRATION vs. AWARD 89-00505 Christopher Preuss, Joseph Canindeo and Thomas Ackerly Respondent(s) NOTICE OF CASE SUMMAR7 Claimant(s) Danny P. Hurles alleged that Respondent(s) Christopher Preuss, Joseph Canindeo and Thomas Ackerly misrepresented the potential investment performance of certain securities purchased

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rich & Famous, Inc. Claimant vs. CASE* 89-00504 AWARD Wissam Abdelnour Shearson Lehman Mutton, Inc. Ziad Abdelnour Respondents CASE SUMMARY Claimant alleges Respondents churned his account and entered unauthorized transactions. Claimant also alleged the account was over-leveraged and locked adequate margin. Claimant also alleged failure

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sherwood Capital, Inc. Claimant(s) vs. 89-00484 Fred Eisner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Sherwood Capital/ Inc. alleged that Respondent(s) Fred Eisner received an overpayment on commissions. Respondent(8) did not respond. RKTiTBF REQUESTED Claimant(s) Sherwood Capital, Inc. requested damages of Two Hundre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Randy Howard Claimant vs. F.D. Roberts, Inc. Kathleen S. Lewis Respondents AWARD #89-00445 Case Summary Claimant Randy Howard claims against Respondents F.D. Roberts Securities, Inc. and Kathleen S. Lewis arise from the offer and sale of several securities during 1987 and 1988. Claimant alleged that the Respondents made false and deceptive stateme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Dominic and Jennie Benedis ) Claimants " ) and ) A W A R D ) 89-00444 R.L. Kotrozo, Inc. and ) Sam Giallanza ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about February 13, 1989, Claimants Dominic and Jennie Benedis ("the Benedis'") alleged that Respondents Sam Giallanza ("Giallanza") and R.L. Kotrozo, Inc. ("Kotrozo")

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anton D. and Esther L. Kline Claimant(s) vs. Prudential-Bache Securities, Inc. and Dean Lonseth Respondent(s) NOTICE OF ARBITRATION AWARD 89-00443 CASE SUMMARY Claimant(s) Anton D. and Esther L. Kline alleged that Respondent(s) Prudential-Bache Securities, Inc. and Dean Lonseth made misrepresentations. Respondent(s) maintain that the Claimants wer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Rade Sekulovski, Cveta Sekulovska, x Vera Sekulov and Ljupco Sekulovski x x Claimants x x CASE NO. VS. X 89-00440 X Merrill Lynch, Pierce, Fenner & Smith, Inc., x AWARD John B. Glancy and David E. Miazgowicz x x Respondents x x CASE SUMMARY Claimants, Rade Sekulovski ("Rade"), Cveta Sekulovska, Vera Sekulov ("Vera"), and Ljup

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02579 Taylor Stuart Financial, claimant vs. Lev Hibernian, respondent. ATTORNEYS: For Claimant Taylor Stuart Financial, ("Claimant"), Stephanie Rosenblatt, Esq. and Aegis J. Frumento, Esq. of the firm Singer Frumento LLP, New York, NY. For Respondent Lev Biberman, ("Respondent"), Lev Biberman did not respond to Claimant's Statement of Claim. DATE FILED: Ju

NATIONAL ASSOCIATION OP SECURITIES DEALEHS, INC. la the Matter of the Arbitration Between ) ) SALLY S US SHAN, ) Claimant, ) ) Cast 189-00432 vs - } Award ) DEAN VITTER REYNOLDS and ) DAVID E. JELONEK, , ) Respondents. ) Htard before the member • of the Arbitration Panel » Alexander Eltman, Esq. Judy Avey Leslie Bishop CASE SUMttftY This claim was filed with tht NASD, Inc. on February 13, 1989. Th« hearing was conduct