NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Fortuna Claimant(s) vs. 89-00431 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert S. Fortuna alleged that Respondent(a) Blinder/ Robinson & Co., Inc. made misrepresentations. Respondent (s) maintain that Claimant's losses, if any, were not caused or contributed to by Blinder, Robinso

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NarjaQfClainiant-fs) Walter Brent & Wondia Clark National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-444O 89-00430 I i Shearson Lehman Hutton, Inc. Carlos Villanueva CftSB SMART in a claim filed with the National Association qf Securities- Oeale

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Albert J. Serrero AWARD Claimant 189-00427 vs. Robert Thomas Securities, Inc. Raymond James & Associates Forrest C. Woods, Jr. Respondents In the Matter of the Arbitration Between Don Walker AWARD Claimant #89-00800 vs. Robert Thomas Securities, Inc. Raymond James it Associatss Forrest t. Woods, Jr. Respondents In the Matter of the Arb

NATIONAL ASSOCIATION OF SECURITIES DEALERS T.n the Matter of the Arbitration Between Bruce P. Homoya vs. Claimant(s) 89-00426 Blinder, Robinson & Co., Inc., Meyer Blinder and James Mahoney Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bruce P. Homoya alleged that Respondent(s) Blinder, Robinson & Co., Inc., Meyer Blinder and James Mahoney committed unauthorized trades in Claimant account held with Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald A. and Theresa Heise Claimant(s) vs. 89-00425 Rob Scheinman and Ron Bajorik Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gerald A. and Theresa Heise alleged that Respondent(s) Rob Scheinman and Ron Bajorik misrepresented material facts as to Claimants' investment with Respondent. Respondent(s) deny Claimants' allegatio

Vol. Z Mo. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between H< x ™ e '^ vs. Koin^/JLu CtXiaof" ? (- 0 -, cJvit. . it * i Claimant^- ) ) ! ) Respondent^ ) ) ) Award NASD No. SUWARY OF ISSUES This case was filed on "y^y^/r^ iS.jtfQ. CJLfi^niJk /r^y iS. t/ isy*.f U. l- AjifJL nor C nJUJiQ oJ n .. pvc.Ytf fVy-^ *^ <

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack and Mildred Targon, trustee Claimant(s) vs. AWARD 89-00417 L.F. Thompson & Co., Jeff Zack and Bradley D. Zilke Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Jack and Mildred Targon, trustee alleged that Respondent (s) L.F. Thompson & Co., Jeff Zack and Bradley D. Zilke negligently mishandled Claimants' account held with Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Orlan & Jean Wood Claimants ) vs. ) AMENDED AWARD Shearson Lehman Mutton, Inc. Respondent ) CASE NO. 89-00416 SUMMARY OF ISSUES This case was filed on February 13, 1989. Claimants alleged that Respondent violated federal and Washington state securities laws. They alleged that Respondent placed Claimants into unsuitable limited partnership offerings, that Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. and Lorena A. McCarter vs. Graystone Nash and Peter Blanding Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-00415 CASE SUMMARY Claimant(s) William J. and Lorena A. McCarter alleged that Respondent(s) Graystone Nash and Peter Blanding made misrepresentations. Respondent Peter Blanding maintains that he was not invol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02578 Dean Witter Reynolds, Inc., claimant vs. Todd K. Daniels, respondent. ATTORNEYS: For Claimant Dean Witter Reynolds, Inc. ("Claimant"), Diane C. Fischer, Esq., of Gomberg, Kane & Fischer, LTD. Chicago, IL. Respondent Todd K. Daniels ("Respondent"), did not respond to the Claimant's Statement of Claim. DATE FILED: June 4, 1999 CASE SUMMARY: Claiman