PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfcXJUKITlfeS DEALERS In the Matter of the Arbitration Between NaineofQaijnaxit Arthur L. Ttonnan 90-03001 NameofRfiSDQndents J. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Ryan 3ecJc & Go. For Claimant Arthur L. et al. ("Claia»nt") : David S. Mack, of Hersh, Rams

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John J. Bray/ Jr. Claimant AWARD vs. Global Investor Securities, Inc. Respondent Case #90-02983 PASE SUMMARY Pro Se Claimant, John J. Bray, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on October 23, 1990, alleged that Eric Gehler p while employed at John Parca and Associates, misrepresented the risks i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Grippa (Claimant) Case Number: 01-00705 Cantone Research, Inc. and Anthony Cantone Hearing Site: New York, NY (Respondents) Neil A. Grippa (Third Party Respondent) REPRESENTATION OF PARTIES Claimant, Frederick Grippa, hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasqua, NJ Respondents, Cantone Research, Inc. ("Cantone") and Anthony Cantone ("

N.A.S.D. JWHZD ASSQCIMICH OF SULUR1TIK5 TKftTHg In tte Matter rrF H^ aTtvitTr?tvif¥l R_ Galster *•»* rsa-ii R. Galster JtKtos 90-02972 H CF Claimants .qhftiA-m R. Galster and Gail R. Galster appeared pro se. Respondent Mark Mosaraca was present and was represented by P«MIH H. Zlller, Esq. and James Apaia, Esq. CftSE SOMffiSY In a StatenKnt of ma-im filed with the National Association of Securities Dealers, Inc. ("NASD") cor or about Octo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Laurence M. Leisten } Claimant ) ) AWARD vs. ) } NASD #90-02968 Municicorp of California ) Respondent ) J REPRESENTATION Claimants was represented by Stephan Math, Esq., Woodland Hills, California. Respondent was represented by Kenneth W. Rogers. SUMMARY OF ISSUES Claimant alleged Respondent breached the terms of their emp

N.A.S.D. AWARD Arbitration NATICNAL ASSOCAnCN OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of Claimant. {s\ Eileen H. Loeffler, Indiv. & as TTEE Name of Resporytent(S) Shearson Lehman Hutton, Inc. Thomas Silver Karl Loeffler National Attodatfon of Sftcuritiw DMtora, Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (305) 522-7391 Case No. 90-02966 Claimant, Eileen H. Loe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary Erato Claimant Case #90-02959 vs. McLauglin, Piven, Vogel, Inc. Respondents AWARD CASE SUMMARY Mary Erato, in a claim filed with the National Association of Securities Dealers, Inc. on October 22 , 1990, alleged that Respondent churned her account, made unauthorized purchases and was negligent in the supervision and handling of her personal

N.A.S.D. AWARD NATICNAL ASSOdATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Oscar D. ) Case No. 90-02943 Name of Respondent^) ) ) Interstate/Johnson lace Corporation ) Michael For Claimant, Oscar D. Hackman ("Hackman"): Brian J* Cooke, Esq. of Koeppel, Coofce & Gottlieb. For Respondents, Interstate/Johnscn T.«T»» Corporation ("I/JL") and Michael ln ("^stein"): Barry P. Harris, IV, Esq. of I/JL.

N.A.S.D. AHAKD NATIONAL ASSOCIKnCK OF SBCDRITIES DEALERS In the Matter of the Arbitration Between. Of 1992 Ted & Nadine A. Mouras 90-02796 Ngme Of Pf>n| M nHant-p Boucher, Oebmke & Ocnpany Bryce Boucher . Oehmfce Richard R. Quinn Lorin W. Surpless John W. tftifort* j g^n (Voluntary Submission) Claimants were r*pr^g«nt' !3rf by Ti^rmag A. Curti, Esq., P.C. of Tucson, Arizona* Respondent, Richard R. Quinn, appeared grc^

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02795 In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Andrew J. and Gloria Cutright Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney, Dominick J. Dorata, Esq. , New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, alleged that Respondents Andrew J. Cutright and Gloria Cutright