Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ellen R. Weintraub Name of Respondent First Equity Corporation of Rorida Case No. 01-02759 Hearing Site: Boca Raton. Florida REPRESENTATION OF PARTIES Claimant Ellen R. Weintraub ("Weintraub") appeared pro se. Respondent First Equity Corporation of Florida ("First Equity") did not appear. (See "Other Issues Considered and Decided"). CASE INF

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Christopher and Thomas Vasilas ) Claimants ) and ) A H A R 0 ) 87-02234 Cowen and Co., Mike Ermilio and Viceroy International Securities Respondents SUMMARY OF THE CASE Christopher Vasilas and Thomas Vasilas, ("Claimants") allege unauthorized trading against Mike Ermilio; Cowen and Co.; and viceroy International Securities Corp. ("Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Kami 11 Claimant Case #87-02218 vs, Award South Richmond Securities, Inc. Respondent The undersigned, being the Arbitrator selected to rpview and determine a matter i.. controversy between the ?cove-mentioned Claimant and Respondent, set forth in submissions to Arbitration signed by the parties on November 12, 1987 and March 25, 1988, res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DEAN WITTER REYNOLDS, INC., ) Claimant. ) ) Case #87-02212 vs. ) ) RICHARD SANE, ) Respondent. ) REPORT OF ARBITRATORS Sane is an individual who has resided full time in Kissimmee, Florida for approximately five (5) years. While in college, Sane passed the Series 3 Examination and obtained a license to sell Mutual Funds. In the early 70'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. ) Claimant(s) ) and ) ) CASE NO. 87-02210 POORAN C. TRIPATHI AND ) PRATIMA TRIPATHI Respondent(s) CASE SUMMARY PaineWebber, Inc. ("Claimant") alleged that Pooran Tripathi and Pratima Tripathi ("Respondents") are liable to the claimant for amounts expended by claimant in order to cover Respondents short position on October

NATIONAL AS In the Matter of the Arbitration Between ) Patricia Ann Hanson Claimant ) vs. ) AWARD Alan C. Brookes Respondent ) CASE NO. 37-02186 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 12. 1987. Claimant alleged that Respondent acted negligently by partially liquidating her account on October 20, 1987 in response to a margin call without notifying her or allowing sufficient

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bijan Yarjani and ) Nedereh Ahil Yarjani Claimant(s) ) ) AWARD vs. ) CASE NO. 87-02180 Barafaan Securities, Inc. and ) Hassan Hashamian Respondent(s) ) SUWARY OF ISSUES This case was filed on Nov. 10, 1987. Claimants opened an account with Respondents in mid 1986. At the time of the opening of the account Claimants allege that they informed Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Sarah C. DeMaria Claimant(s) vs. 87-02165 Blinder, Robinson & Co., Inc. vs. John G. Flanagan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sarah C. DeMaria alleged that Respondent(s) Blinder, Robinson & Co., Inc. did not execute a buy order as instructed by Claimant. Respondent Blinder, Robinson & Co., Inc. denies

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) } RENEE JANS DIAMOND and WENDY JANS ) Claimants ) AWARD v. ) NASD NO. 87-02090 ) SHEARSON LEHMAN BROTHERS, INC. ) On May 12, 1989, in Chicago, Illinois, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on October 28, 1987 by Claimants Renee Jans Diamond and Wendy Jans, on October 3,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin Lesser and Joan Lesser Claimant(s) vs. AWARD 87-02479 Blinder, Robinson & Co., Inc., Keith Galanti and Peter Maslin Respondent(s) The Arbitrator, Henry Baiter, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on J