N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between '•• Name of Claimant Leroy E. Spires and 90-00470 Name of Respondents Shearson Lehman Brothers, Inc. Robert G. Clark REPRESENTATION O? P3B.TIE3 Claimant was represented by John C. Augustine, Esq. of Saegert, Augustine & Lynch, P.C., Austin, Texas. Respondents were represented by Harry T. Walters, Esqr «f Shearson Lehman Brothers, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEATCTS irTthe Matter of the Arbitration Between Name of _ Claimant ( s ) Katherine Jean Morgan 90-00469 of Resoriftent' i * Shearson Lehman Hutton, Inc. James Constantine In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about February 1, 1990, Katherine Jean Morgan ("Claimant") alleged that Janes A. Constantine, a registered representative of Shea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ' In che Matter of the Arbitration Between Name of Claimant James H. Weisberg, individually and as custodian of Jamie Weisberg, Matthew Weisberg, Kelsi Weisberg and Michael Weisberg and 90-00468 °£ Respondent . Thir Part Claimant Shearson Lehman Hutton, Inc. ri/k/a Shsarson Lehman Brothers, Inc. Name of Third Party Respondent William Foster REPRESENTATION OP PARTIES

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. JOSEPH D. MERCADANTE AND SAM PATTI CLAIMANTS V. AWARD t90-00467 FRANK NICOLOIS RESPONDENT CASE SUMMARY The Statement of Claim was filed with the NASD, Inc'. on February 13, 1990. Claimant, Joseph D. Mercadante, alleged that while employed as an account executive at Respondent's firm, he opened an account jointly with his uncle, Claimant, Sam Patti. During the time -in quest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DOM AND IRINA MARTINO, SHARON MARTINO AND ANDREW HARTINO CLAIHANTS AWARD V. /90-00463 DEAN WITTER REYNOLDS, INC. TERENCE F. MARKET AND IRA KORNBLATT RESPONDENTS CASE SUMMARY The statement of Claim was filed with the NASD, Inc. on February 13, 1990. Claimants Dom, Irina, Sharon and Andrew Martino alleged that they were unsophistic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jerome and Marcella Yunger, Claimants v. Seibt Financial Services, Inc., Respondent. Case Number: 99-03994 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: Max C. Tanner, Esq. Law Offices of Max C. Tanner Las Vegas, Nevada For Respondent: Hans Seibt Seibt Financial Services, Inc. Las Vegas, Nevada CASE INFORMATION Statement of Claim filed: A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ijlame of f],airpant(s) Thonas J. Peters Leslie J. Schurr Peter A. Lcmeo Mary M. Swanson DeArle Masters and Jeffrey J. Saienme l^ame of Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Bramble ) Case Nos. 90-02932 90-03202 91-00066 91-00353 91-00536 91-00537 For Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweenj ) Name of flaimantf s< ) ) Thomas J. Peters ) Leslie J. Schurr ) Peter A. Lcmeo ) Mary M. Swanson ) DeArle Masters and ) Jeffrey J. Salemme ) ) Name of Respondent.^) ) ) Princeton Financial Group ] Anthony J. Pontieri j Jerry Frederick Shorthouse ] Charles Bramble ; Case Nos. 90-02932 90-03202 91-00066

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of n«imanfc< s\ ) ) Thomas J. Peters ) Leslie J. Schurr ) Peter A. Lonao ) Mary M. Swanson ) DeArle Masters and ) Jeffrey J. Salenme ) ) of Respondentts) l Princeton Financial Group Anthony J. Pontieri Jerry Frederick Storehouse Charles Brimble Case Nos. 90-02932 90-03202 91-00066 91-00353 91-00536

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) (CATHERINE B. BOND ) Claimant(s) ) Case No. 88-02210 and ) SHEARSON LEHMAN HUTTON, INC. AND BERTRAM RISEN Respondent(s) CASE SUMMARY Katherine B. Bond ("Claimant") alleged that Bertram Risen, who was at the time of the acts complained of herein a registered representative of E.F. Hutton, Inc. (Bertram Risen and Shearson Lehman Hutton, Inc. are col