N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nane of Claimant(s) Tennant Fund Managers Int Ltd Refco Securities, Inc. Case No. 90-00220 Heard before the members of the Arbitration Panel: Robert Herschraann, Esq. Public Marina Shank-Klein, P.A. Public Penny N. Miller Industry Claimant, Tennant Fund Managers Int., Ltd. ("Tennant"), was represented by Jeffrey S. Rosen, Esq., of DeMartino

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/si Peter & Rosalyn Paul 90-00217 Name of Respondent(si Stifel, Nicholaus & Co., Inc. I. M. Simon & Conpany Joseph Lantz Nancy Miller Rowland, Simon & Co., Heard before: Name Public/Industry Public / Chair_ Public Industry This matter was initiated by a Statement of Claim filed with the National Assoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Corinne Balzac Claimant ) vs. ) AWARD Smith Barney Harris Upham ) & Company, Inc. ) Chris Brown Respondents ) CASE NO. 90-00219 SUMMARY OF ISSUES Claimant alleged Respondents failed to follow her instructions with respect to trading of puts and calls. Respondents denied Claimant's allegations, and denied liability for any of Claimant's losses. Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Bates Margaret Bates vs. Jeff Wells Claimants Respondent ) ) AWARD ) NASD NO. 90-00212 .) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, inc. ("NASD") on January 16, 1990. Claimants alleged failure to execute sale of 1000 shares of Emerald Mortgage Investment Corporate Securities. ~*

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Stone Claimant(s) vs. Andrew Peck, Inc. vs. Securities Settlement Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00208 CASE SUMMARY Claimant(s) Richard Stone alleged that Respondent(s) Andrew Peck, Inc. failed to pay interest on funds deposited by Claimant in an account maintained with Respondent, after verbally advising Cl

A i bitf MMMI ^••MMOTHBHMIBMM National AasMMOton of NKHGNRL ASSQdKnm OF SECURITIES NASD Financial Cantar 53 Whitehall Sfraat New rorK. N«w York 10QC In the Matter of the Arbitration Between of J. McBreen vs David A. Dole Meyer Blinder Case # 90-00207 This claim was filed with the Nstional Association of Sprnril-lpn Dealers, Inc. on January 18, 1990. Ite case was heard on October 30 and 31, 1990, in •• Klli .-,. .•HMJ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rudy A.M. Malizia Claimant(s) vs. 90-00204 Daley Securities, Inc., Robert Waitkus, and Robert Donellan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Rudy A.M. Malizia alleged that Respondent(s) Daley Securities, Inc., Robert Waitkus, and Robert Donellan negligently mishandled Claimant's account held with Respondent. Re

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between W. M. Sanders 90-00202 Prudential-Bache Securities Inc. Porcari Fearnow & Associates, Inc. Claimant W. H. Sanders was pro se. Respondent Porcari Feamow & Associates, Inc. was represented by Donald J. Willy of Donald J. Willy & Associates, Houston, Texas. Respondent Prudantial-Bache Securities, Inc. was represented by Charles T. Richard, of Prud

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Robert Senior x Claimant x x CASE NO. vs. x 90-00191 x Thomas James Associates x AWARD x Respondent x , x CASE SUMMARY Claimant, Robert Senior, alleged that Respondent, Thomas James Associates, did not act in the Claimant's best interests in the handling of his account, and failed to sell the Claimant's Phoenix Laser Systems stoc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration between Elio Bruno, Claimant v. Prudential Securities, Inc. and John Reynolds, Respondents. Case Number: NASD-DRNo. 01-03206 REPRESENTATION OF PARTIES Claimant, Elio Bruno, hereinafter referred to as "Claimant": M. Abraham,New York, NY Respondents, Prudential Securities, Inc. ("Prudential"), John Reynolds ("Reynolds"), hereinafter collectively referred to as "Respondents": Patrici