N.A.S.D. AWARD NfiTICNAL ASSOCIATION Or SECURITIES DEALERS ~ln the Matter of the Arbitration Between Mane of Claimants\ Atkins Realty, Inc. 90-00260 Name of Respondent^) PaineWebber, Inc. Robert J. Bukowski In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on January 24, 1990, Claimant Atkins Realty, Inc. alleged that Respondent Robert J. Bukowski, while acting as an agent or employee of Res

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between John T. Kartesz 90-00257 Name of Remnrytant" ( s ) Kennedy, Cabot & company David Paul Kane Don Wascher Heard Before: Industrv Francis 0. Spalding Public_ John J. Flynn Public_ Anne Hennegar Industry^ This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Jan

HaTIONAL ASSOCIATION OF SECURITIES DEALERS, IHC. In Che Matter of the Arbitration Between/Among Judy Kaszas Claimanc Award vs. Rosenkrantz Lyon & Ross and John Haisey Respondents Case #90-00256 CASE SUNMtftT In a claim filed by the Claimant on January 23, 1990, Claimant Judy Kaszas ("Claimant") alleged that Respondent Rosenkrantz Lyon & Ross ("Rosenkrantz") and John Haisey ("Haisey") placed her in unsuitable investments. Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rosemary E. Lindquist Claimant(s) ARBITRATION vs. AWARD 90-00254 Curtis Coleman and Les Livingston Respondent(s) NOTICE OP CASE SUMMARY Claimant(s) Rosemary E. Lindquist alleged that Respondent(s) Curtis Coleman and Les Livingston made unsuitable stock purchases and, against her instructions, also bought for her account on margin. Claimant den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Selma Hittelman ) Claimant ) ) AWARD VS . ) ) NASD #90-00246 Merrill Lynch, Pierce, ) Fenner & Smith, Inc. ) Raymond A. Saldonis ) Respondents ) ) SUMMARY OP ISSUES claimant alleged misrepresentation of material facts and unsuitability with respect to the recommendation and purchase of Republic Steel and Southmark corporate b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Choon Seng Tiong x Claimant x x CASE HO. vs. x 90-00244 x First Flushing Securities, Inc., x AWARD Q & R Clearing Corporation, Patty Tsang x and John Liu x Respondents x x CASE SUMMARY Claimant, Choon Seng Tiong ("Tiong"), alleged that Respondents Patty Tsang ("Tsang") and John Liu ("Liu") churned« and engaged in high risk, unsui

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Qf_CjjjjJB5n£. Lucio Ganmola Case # 90-00243 Award vs. Nameipf Respondents First Investors Corporation Albert F. Gallo CASE SUMMARY Claimant, Lucio Genmola, alleges that he directed Respondents, First Investors Corp. and Albert Gallo, to liquidate his portfolio and that they failed to do so in a timely manner. As a result,

Arbitration N.A.S.D. JWftHD ASSOdKTICN OF SECURITIES DEALERS NttionalAnocMionol Securities Dealer*, bio. NASD Financial Centtr 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. vs. Duane M. Peru! Case f 90-00238 Claimant, Dean Hitter Reynolds, Inc., *noy«t that Respondent, Duane M. Paul, Jr. maintained an Active Assets Account with Claimant and that in connection

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Yn the Matter of the Arbitration Between ) of Joseph and Kathryn Dunn ) ) Case NO. 90-00235 Name of Resipnden^fsT ) Allan Moreno } First Alliance Securities, Inc. ) Claimants, Joseph and Kathryn Dunn ("the Dunns"): were grg s£. Respondent, Allan Moreno ("Moreno"): was cap 33. Respondent, First Alliance Securities, Inc. ("First Alliance"): failed to file an appearance. Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet Brady Claimant AWARD #90-00230 Prudent 1 al-Bache Securities Inc. Gregg P™nvi^ Respondents Claimant alleged that the Respondents executed an authorized unsuitable options trade in her account, and she was placed in unsuitable options when* she believed that she had purchased cannon stock. Respondents maintained that the Claimant a