NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Coratti Claimant vs. AWARD #88-03147 Nathan & Lewis Securities, Inc. Nathan, Lewis & Grant, Inc. Nathan & Lewis Associates, Inc. Ronald M. Allen Respondents Case Summary Claimant Anthony Coratti (hereinafter "Claimant") alleged that he told Respondent Ronald M. Allen (hereinafter "ATlen") that his (Claimant's) investment objectives wer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Meyer Weisman and Claimants Jeanne Wiesman vs. } CASE NO. 88-03141 ) C.L. McKinney & Company, Inc., and Respondents ) Jack Halperin } SUWARY OF ISSUES Claimants filed this claim with the NASD on October 12, 1988 and alleged that losses were incurred as a result of Respondent's negligence, breach of fiduciary duty, breach of contract, and abandonment.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ Michael and Lanetta Blodgett, ) Antoinette G. Attell and ) Carol Irving ) Claimants ) ) AWARD vs. } ) NASD #88-03135 Prudential-Bache Securities, Inc., ) Charles Bergman and ) Jerry Gettinger ) Respondents } SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers on October 7, 1988. Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Esther 8. Warner vs. Shearson Lehman Hutton, Inc. Respondent CASE #88-03133 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1988, Claimant Esther B. Warner alleged Respondent through the use of misstatements and omissions induced the Claimant to make investments that were compl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis Rustigian Claimant vs. AWARD CASE NO. 88-03129 Shearson, Lehman, Mutton, Inc. Respondent SUWARY OF ISSUES This case was filed on Nov. 2, 1988. Claimant alleges that Respondent sold out his holdings in Tiger International stock due to a margin call. Claimant states that he would have covered the margin call if he had been aware of it. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sidney I. and Frances Rovak Claimants vs. William A. Slone Respondent Case 188-03128 AWARD CASE SUMMARY Claimants alleged that Respondent churned their . retirement account to generate excessive commissions and fraudulently misrepresented to the Claimants the type of securities that he was trading in their account. The Respondent denied the alle

NASD Dispute Resolution, Inc. Arbitration No. 99-02476 Award Page 1 Award NASD Dispute Resolution, Inc. . JAN 2 1 2001 In the Matter of the Arbitration Between Name of Claimant Michael Edlin Name of Respondents Paine Webber, Inc. James Quicksilver Case No. 99-02476 REPRESENTATION OF PARTIES Claimant Michael Edlin (Edlin) was represented by Thomas P. Rosenfeld, Esq., of Stone Leyton & Gershman, located in St. Louis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vito D. and Marie J. Spillone Claimant(s) vs. Leny Tucker of F.D. Roberts Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03122 CASE SUMMARY Claimant(s) Vito D. and Marie J. Spillone alleged that Respondents) Leny Tucker of F.D. Roberts Securities, Inc. negligently mishandled Claimants' account held with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) CHARLOTTE PAPAOAKIS ) Claimant ) NASD NO. 88-03121 v. ) SANDHURST SECURITIES, LTD. ) and IRVING SIMON Respondents CASE SUMMARY Charlotte Papadakis ("Claimant") alleges that Irving Simon ("Respondent"), an account representative employed by Sandhurst Securities, Ltd., made unauthorized trades and unauthorized purchases on margin, made unsuitable se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary Bianco Claimant(s) vs. 88-03117 John Hancock Insurance Co., Armand Fiordelise, and John Hancock Distributors, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claim by investor whose check was lost in mail or otherwise, against insurance company investment house for lost income when investment was not consummated. Responden