NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl T. and Martha M. Neal Claimant(s) vs. 87-01609 U.S.A. Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Carl T. and Martha M. Neal alleged that Respondent (s) U.S.A. Securities, Inc. failed to credit Claimants' accounts with an appropriate refund of a sales charge. Respondent(s) did not defend. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Jacob and Ruby Jacob Claimant(s) vs. 87-01606 Viceroy International Securities Corp., Robert Onesti and Avin Bakal Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Jacob and Ruby Jacob alleged that Respondent(s) Viceroy International Securities Corp., Robert Onesti and Avin Bakal made unauthorized sales of securitie

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin M. Hochman Claimant(s) vs. S.D. Cohn, Sidney D. Conn and Philips, Appel & Walden, inc. Respondent(a) NOTICE OF ARBITRATION AWARD 87-1604 The Arbitrator, Gerald Thomas Grady, Jr./ selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John V. DeMais Dorthy L. DeMais Claimants ' Award 87-01596 vs. Brooks Weinger Robbins & Leads, Inc. George Fairweather Securities vs. Denton & Co., Inc. Respondents The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Parties, set forth in a submission to Arbitration signed by the claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Penny P. Landau, (Claimant) vs. Block Trading, Inc., Texas Capital Securities, Inc., Albert Garfield, William Murray (Respondents). Case Number: 99-02273 Hearing Site: Denver, CO REPRESENTATION OF PARTIES Claimant, Penny Landau ("Claimant"): appeared pro se with the assistance of Peter Landau. Respondent, Block Trading, Inc. ("Respondent Block Trading"): Daniel Kirshba

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. the Matter of the Arbitration Between ) Oavici R. Melen et al Claimants ) ) Case J87-01591 Vs. ) Award ) Shearson American Express, Inc. ) Dennis J. Orescher ) Craig Corliss ) Respondents ) ) On Thursday, March 30, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signeo by Claimants' on February 1, 1988, and by Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) TRUSTEES OF THE IMMANUEL LUTHERAN CHURCH ) & IMMANUEL LUTHERN CHURCH ) Claimants ) AWARD v. ) NO. 87-01554 BLUNT ELLIS & LOEWI, INC., ) ROGER KREUZER ) Respondents ) On December 16, 1988, May 10 and May 11, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration by the Claimant on August 15

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Claimant(s) ) ) AWARD vs. ) ) CASE NO. ferine/- Respondent(s) ) GaUc.j \ :ln o/ . .. / c A n J". "^ox a* w _ ) SUWARY OF ISSUES This case was filed on yTS i.ia/ n£4/u^li. iumiA nniMtsifJ • /L, L 7 ^^oALoTji^rt'^ viPx.u>,o (^ ( i j . ( '( fi n n*aL . \ e Lln JiJji QjisL ^n^L.6" _/VJL-

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tjame of Claimants i Jean Goren, et al. 87-01529 Name of Respondent i s) Kidder, Peabody & Co., Incorporated Amelia Nerdrum-Turcotte For Claimant Jean Goren: Seth E. Lipner, Esq. of Deutsch & Lipner in Great Neck, New York. For Respondent Kidder Peabody, Inc.: Brian F. McDonough, Esq. of Shanley & Fisher in New York City. For Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Aron riardoon & Saida Hardoon, JTWROS Claimants VS. First Affiliated Securities, Inc. First Investors Corp. Anthony Errera "heresa MenneHa 7 irst Associated Financial Group, Ltd. Respondents AWARD #87-01510 Case Summary Claimants allege that Respondents failed to process their account 1n « timely fashion thereby causing them to sustain dam