N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NamgofTTaingnt- 1 c \ Robert L. Rossbach Nicolette D. Rossbach Jt Ten vs. 90-03322 First America Equities " " For Claimants: Robert L. Rossbach of 29451 Vista Plaza Drive, Laguna Niquel, CA 92677 For Respondent: No appearance Statement of claim filed: November 21, 1990 Claimant's Submission Agreement signed on: November 15, 1990 Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of "the Arbitration Between Mariaine L. Johnson 90-03317 of FteBcondentf s) Shearson Lehman Hutton, Inc. Kae Swing Claimant was represented by Ann Anderson, Esq.. Respondents were represented by Terry Ross, Esq.. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. {"NASD") on November 21, 1990. Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Manuel Martins, (Claimant) vs. Roan Capital Partners, L.P., (Respondent) Case Number: 99-04032 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Manuel Martins, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Previously represented by: Robert C. Hess, Esq. and Alan G. Graffin, Esq., Harold Leib & Associates, P.A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jeffrey B. Greene Claimant ) AWARD vs. ) CASE #88-02356 Dania Securities, Inc. Respondent ) SUMMARY OF ISSUES Claimant alleged Respondent breached an; agreement to produce and market an offing memorandum for a limited partnership to be called Pendragon Equine Investment Group. Claimant alleged he paid Respondent in advance for services to be rendered, and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between Paul Sarkozy ) ) Claimant(s) vs. PaineWebber, Inc. R. William Alfrey James M. Ragland - ) Russell E. Dale' ) Respondent (s) ) ' CASE #88-02354 AWARD Heard Before the Arbitration Panel: Martin Henner \< ' _ Gerald D. Wygant Daniel Dunnington On May 2, 3 r 4 and"5, 1989 the arbitrators heard the controversy betwee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David C. Clanton Claimant(s) vs. 88-02352 Blinder, Robinson & Co., Inc. and Richard A. Bersson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant David C. Clanton alleged that Respondent Blinder, Robinson & Co., Inc. and Richard A. Bersson executed an unauthorized transaction. Respondents maintain that Claimant received written co

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. J-02344 Kimberly Brown Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent^s) Kimberly Brown owes a balance in her account. Respondent(s) did not defend. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., Inc. requested damages of Two

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Burger Claimant(s) vs. Blinder, Robinson & Co., Inc. and Robert Hein Respondents) NOTICE OF ARBITRATION AWARD 88-02338 CASE SUMMARY Claimant(s) George Burger alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Robert Hein made unauthorized trades in Claimant's account. Respondent(s) maintain that Claimant is barred from recover

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carolyn Hash and Claimants ) Lorrie Leiker ) vs. ) CASE NO. 88-02335 Shearman Lehman Mutton, Inc Respondents ) Mark Anthony DeMenno ) Municicorp of California ) SUMMARY OF ISSUES This case was filed on July 2, 1988. Claimants allege that they purchased a mutual fund through Respondents that was represented to them as being a secure, virtually risk fre

3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DEAN WITTER REYNOLDS INC., Claimant, vs. FRED and JUDITH KAPING, Respondents, AND RELATED COUNTER-CLAIM. AWARD Case No. 88-02332 SUMMARY OF ISSUES This case was filed on July 2