PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann Joan Lombardo 92-03769 Name of Respondent Ronald Lupia CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 6. 1992. Claimant Ann Joan Lombardo, who appeared Pro Se. alleged that while employed by Donald S. Perlman Agency, she was contacted by Respondent Ronald Lupia

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David A. and Claudia Schaefer. vs. First Jersey Securities, Robert E. Brennan, Richard Hunt and Brady Neeld, Claimants, Respondents. Case #87-02001 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Ms. Patricia A. Snub Mr. Thomas E. Feeley CASE SUMMARY This claim was filed with the NASD, Inc. on October 21, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CHRISTINE BUDZANOWSKJ McCLEARY ) Claimant(s) ) v. ) ) CASE NO. 87-01987 E. F. BUTTON & COMPANY, INC. AND ) AWARD BARRY VENER ) ) Respondent (s) } On June 6, 1989 in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 20, 1988 by Claimant Christine Bu

NASD Regulation Inc., Office of Dispute Resolution Arbitration No. 97-02567 Award Page 3 of 5 responsible if Larrabee recovers any judgment from A.S. Goldmen. Claimant requested entry of an award against Respondents for compensatory damages of $55,148.00; pre-judgment interest at the rate of 10% per annum compounded annually; punitive damages in the sum of $40,000.00; reasonable attorneys' fees and expenses; costs; post-judgment interest at the rate of 9% p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Halter Mykietiuch Claimant vs. Philips, Appel & Maiden, Inc. and Peter Capriotti Respondents Case #87-01966 Case Summary Claimant Walter Mykietiuch alleged Respondents, Philips, Appel & Walden, Inc. and Peter Capriotti churned Claimant's account using it to generate commissions and entered the Claimants into transactions that were unsuitable for

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Halina & Wojciech Winkler Claimants ) vs. ) AWARD Southmark Financial Services, Inc. Respondent ) CASE NO. 87-01948 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 15, 1987 against Financial Network Investment Corporation ("FNIC"). Claimants amended their claim in January, 1989 and named South

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) ) Randy McDermott, ) Claimant ) Case #87-01945 ) vs. ) Award ) Blinder Robinson & Co. and ) John Bennett, ) ) Respondents ) ) CASE SUMMARY Claimant alleged that Respondent, John Bennett, misrepresented the prices of Applied Genetics common stock and warrants and Stari, Ltd., as an inducement to purchase these securities and that thes

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between J. Frederick Abel vs. Oppenheimer & Co., Inc. Craig Spring Jerry Borzeilo Claimant Respondents AWARD *87-0191Q Award On May 3, 1989 in Atlanta, Georgia the undersigned arbitrators heard the controversy between the parties as set forth in the Submission Agreements executed by Claimant J. Frederick Abel ("Abel") on September 17, 1989, by Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stephen M. Chu Claimant ) vs. ) CASE NO. 87-01905 Kennedy Cabot & Co., Inc. Respondents ) SUMMARY OF ISSUES This case was filed on October 8, 1987. Claimant alleges that Claimant was not permitted to make margin transactions in his account with Respondent due to a clerical error on the part of Respondent. Claimant states that he was told by Respondent that th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Douglas and Rhoda Fleischer, Claimants vs. Case 187-01886 Award Hal pert, Oberst & Company and Jeffrey Fladell, Respondents / CASE SUMMARY Claimants, Douglas and Rhoda Fleischer alleged that Respondent, Jeffrey Fladell, misrepresented the risk involved in the purchase of GNMA bond pools and further alleged that this purchase was an unsuitable