NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Friedrich Faber and Michael A. Faber, Trustees Claimant(s) vs. Shearson Lehman Button, Inc. and Paul Michail Respondents) NOTICE OP ARBITRATION AWARD 90-00024 CASE SUMMARY Claimant(s) Friedrich Faber and Michael A. Faber, Trustees alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Paul Michail negligently mishandled Claimants' acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. IMC. In the Matter of the Arbitration Among Leslie K. Lear - Trustee Claimant vs. Case #90-00020 AWARD Joseph J. Cavanagh and Prudential-Bache Securities, Inc. Respondents CASE SUMMARY Claimant, Leslie K. Lear - Trustee ("Lear"), alleged that Respondents, Joseph J. Cavanagh ("Cavanagh"} and Prudential-Bache Securities, inc. ("Pru-Bache"), made fraudulent representations regarding the Prime

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03116 Anthony P. Ferrante, Claimant vs. Salomon Smith Barney Inc., Respondent. ATTORNEYS: Claimant, Anthony P. Ferrante, appeared Pro Se, Hermosa Beach, California. Respondent, Salomon Smith Barney, appeared through its in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged that respondent sold and removed securities from his a

NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Herbert W. and Lorraine F. Schlawiedt, Trustees Claimant(s) vs. 90-00019 Doug Barker and Securities Settlement Corp. Respondent(a) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Herbert: W. and Lorraine P. Schlawiedt:, Trustees alleged that Respondent(s) Doug Barker and Securities Settlement Corp. negligently mishandled Claimants' ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack B. Hayes Claimant(s) vs. 90-00012 Ed Harris and Vicente Blaz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jack B. Hayes alleged that Respondent(s) Ed Harris and Vicente Blaz failed to execute a trade. Respondent(s) Vincente S. Blaz maintains that after October 28, 1988 he had turned Claimant's account over to Edward

NATIONAL ASSOCIATION OF SECURITIES DKALERS, [NC. MICHAEL E. & MICHELLE J. SMITH CLAIMANTS V. E.F. MUTTON & COMPANY, INC. AND JOHN G. TOMLINSON AWARD #90-00011 CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on December 28, 1989. Claimants, Michael E. and Michelle J. Smith alleged that they were unsophisticated investors when they opened an investment account with Respondents E.F. Hutton & Co., Inc. and John G.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants •«*T Wilda Faye Mays Carolyn J. Scott M.C. McCoy Cecil Lance Nan Robinson Herman Collier Marjorie Collier Lois Stooksbury Robert Worrell Grover T. Crosslin Irby Lightner Guy J. Gardner 90-00010 Name of Respondent Dean Witter Reynolds, Inc. Claimants were represented by David N. Burn,

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC In the Matter of the Arbitration Between ) William Howard ) Claimant ) ) AWARD vs. ) ) NASD NO, 90-00008 Livingston Securities, Inc. ) Steve Brown ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 27, 1989. Claimant alleged an unauthorized purchase in his account of two thousand shares of Comprehe

N.A.S.D. AWARD Arbitration ® National Association or NATIONAL ASSOCIATION OF SECURITIES DEALERS oS^!f SSS Suite 1000 ft. Lauderdale. Florida 33301 ____ In the Matter of the Arbitration Between ) i 305 ^ 522-7391 ) Name of Claimant^ s] ) ) Adele D'Agostini ) ) ) Case No. 90-00007 Sprung & Wise Securities ) Timothy Wise- } Ben Coffin j Nicholas J. Sprung ) Heard before the Arbitrator: John P. Cullan, Esq. Pu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julius Stern Claimant(s) vs. 90-00003 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Julius Stern alleged that Respondent(s) Prudentiai- Bache Securities, Inc. did not execute a transfer order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s)