NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Douglas A. Lewis Chariene M. Lewis Claimants vs. Gallant Securities, Inc. Joseph Guccione Dunhill Securities, Inc. David Juring and Vernon Bass Respondents Case #88-02851 AWARD CASE SUMMARY Claimants Douglas A. Lewis and Chariene M. Lewis ("Claimants") alleged that Respondent Joseph Guccione ("Guccione") fraudulently managed the Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Steve Vanotti , Claimant i ) AWARD vs . NASD -88-02848 Frank Dresslar ) Jon M. Pierson ) Broadcort Capital Corporation 5 Respondents ) REPRESENTATION Claimant Steve Vanotti represented himself, as did Respondent Frank Dresslar. Jon M. Pierson was represented by David A. Fike, Esq. of Jackson, Hargrove, Hillison & Emerich, Fre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eva Marie Berlin Claimant(s) vs. 88-02846 Mark Schrader and J.T. Moran & Co. Respondents) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Eva Marie Berlin alleged that Respondent(s) Mark Schrader and J.T. Moran & Co. failed to execute a sell order. Respondent J.T. Moran maintains that the Respondent Mark Schrader was not in the employ of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph I. & Edith S. Klein Claimant and Patricia Marika Stephen Schwartz Austin Davenport Associates, Inc. Eastern Capital Securities, Inc. Respondent(s) Case *88-G2843 AWARD CASE SIMftRY Claimants Joseph I. and Edith S. Klein alleged that Respondents Patricia Marika, •Stephen Schwartz, Austin Davenport Associates, Inc., and Eastern Capital

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marvin Maltz, Claimant vs. t Case #88-02837 Award Barry Leibowitz and Greentree Securities, Inc., ) Respondents ) CASE SUMMARY Claimant alleges that when he bought 250,000 units of Great Colorado Silver Development Co. at $0.02, the bid was SO.02 and the ask was $0.04. Claimant further alleges that Barry Leibowitz, the registered represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STANLEY D. WILLIAMS AND JANAE L. SCHAEFFER Claimants and CASE NO. 88-02834 LAIDLAW, ADAMS & PECK, INC.; ) KUHNS BROTHERS & LAIDLAW, INC.; ) INTEGRATED RESOURCES EQUITY CORPORATION; ) PERSHING DIVISION OF DONALDSON, LUFKIN, ) JENRETTE SECURITIES AND MATTHEW KELLY ) Respondents ) CASE SUMMARY In a claim filed with the NASD on September 6, 1988

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02386 PaineWebber Incorporated, claimant vs. Elbert Watts, respondent. ATTORNEYS: For Claimant, PaineWebber Incorporated ("Claimant"), Romaine L. Gardner, Esq., Counsel to PaineWebber Incorporated, Staten Island, NY. Respondent, Elbert Watts ("Respondent"), appeared Po Se. Atlanta, GA. DATE FILED: May 24, 1999 CASE SUMMARY: Claimant alleged that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the A-bitration Between ) ) DONALD R. ELLER ) ) Claimant ) and ) > CASE NO. 88-02832 SHEARSON LEHMAN HUTTO^, INC. ) ANTHONY SAWIN AND TW MOLL ) ) Respondents ) CASE SUMMARY Claimant allege? that he placed a sell order for 2200 warrants of Intel Stock at the market. Allegedly, Respondent failed to execute the order causing a loss to the Claimant. Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) CONSTANTINE C. KANAVOS ) Claimant ) v. ) AWARD SWISS AMERICAN SECURITIES, INC. ) NASD No. 88-02830 Respondent CASE SIMtARY Constantine C. Kanavos ("Claimant") alleges that Swiss American Securities, Inc. ("Respondent") should be responsible for payment of proceeds of a class action settlement due him from the Minnetonka Lab, Inc. Security Litigation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration) Between ) Raymond D. and Christine M. ) Madia, ) ) Case #88-02829 Claimants ) ) Award vs. ) Shearson Lehman Button, Inc. ) Respondent ) CASE SUMMARY Claimants allege that they informed their broker, Robert Fragasso, about their investment objectives to the effect that although they were willing to accept some risk with respect to the amount