NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant AWARD vs. Harold 0. Postma Respondent Case #90-02794 CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney Dominick J - Dorata, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1990, alleged that Respondent, Harold 0. Postma, has failed to satisfy a d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas P. Mulligan Claimant vs. Richardson, Lyle and Adler, Inc Paul Penvenne Respondents CASE #90-02789 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, Claimant, Thomas P. Mulligan, who appeared Pro Se, alleged that Respondent, Paul Penvenne misrepresented the value of DACO I

N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Larry F. Witte & Teresa B, Bill ) ) ) Case No. 90-02785 ) Mame Qf Raymond James & Associates, Inc. ) Albert Stefan ) Heard before the members of the Arbitration Panel: Philip F. Ludovici, Esq. Public James M. Dunne Public Richard M. Kbwalske Industry Claimant, Larry Witte ("Witte") and Teresa B. Bill ("Bill"), we

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC Tn r.ha ItotifjM- nf rho zxr-hi 1-T-ar i on Jack D. Case # 90-02781 Name of Respondents Royce Park Investments Mark ( Marcus ) Alan Anderson CASE SUMMARY Claimant, Jack D, Love ("Claimant") alleged that Respondent, Mark (Marcus) Alan Anderson ("Anderson"), has on numerous occasions, without informing the Claimant, purchased stock from Claimant's account and misrepresented

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oily van Driest-Young Claimant vs . Dean Witter Reynolds, Inc. anci Glenn Fischer Respondents Case #90-02779 AWARD CASE SUMMARY Oily van Driest-Young, in a claim filed with the National Association of Securities Dealers, inc. on October 5, 1990, alleged ihat Respondent Glenn Fischer while an agent with Dean Witter Reynolds, Inc,, misrepresen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02776 AWARD In the Matter of the Arbitration Between Roif Gren Claimant vs . Lombard Securities Corporation Respondent CASE SUMMARY Rolf Gren, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1990, alleged that Respondent Lombard Securities Corporation executed an unauthorized purchase of WTS Creative Learning Products which

Arbitration National Association of N.A S D AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York, NY. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimants Joel Efron. M.D. William Goldstein, M.D. Steven H. Wolf, M.D.. Esq. 90-02770 Name of Respondents First Eagle, Inc. Strategies International. Inc. Ted Giergielewicz

Arbitration N.A.S.D. AWARD NATICWftL ASSOCIATION OF SECURITIES DEflI£RS In the Matter of the Arbitration Between National Aaaodatton of SocuriBat Paatart, Inc. NASD Financial Center 33 Whitehall Street New York, New York 1000 John P. Spellroan & Catherine A. Spellman vs. 90-02764 Pruco Securities Corp. Tarrence Sullivan Par Claimant; Paul Got,'Bag. of Burns, Bryant, Hinchey, Cox & Shulte, P.A. For Respondent, Pruco Securities

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Number: 01-00696 American Innovative Management Group, Inc. Namft nf the Respondents Hearing Site: Pittsburgh, Pennsylvania Continental Broker-Dealer Corporation, and David I. Cassuto RF.PRF.SFNTATTON OF PARTIES Claimant American Innovative Management Group, Inc., hereinafter referred to as "Claimant", was represented by Alphonse L. Iagnemma ?

N.A.S.D. AWRRD NKTICNftL ASSOCIATION OF SECURITIES EERLERS In the Matter of the Arbitration Between Q£ Downers Grove National Bank, as Trustee of frfr* Schuham Hardware Co. , Inc. Profit fawiHnj plan Nb. 90-02762 of Geneva Securities Inc. Roland K. Kaeser For dainant: James Adduci, Esq. t 1 ™* Michael Roche, Esq. of Scbuyler, Roche Zwirner, Chicago, IL. For Re^ondfint Geneva Securities! Paul Tvm>nM» f Esq. and Carolyn