N.A.S.D. AWARD NATIONAL ASSOCIATION OF U1UUUT1ES DEALERS In the Matter of the Arbitration Between ) ) of J. Wbolley, Jr. ) ) ) Case No, 30-01771 > Mama of Bflflprtvlpnt (a) > \ v-v — i r Dennis filter ) ^ — ^r^< " Easter Kramer Group Securities, IDC. ) \\V Integrated Resources Equity Corp. ) \ •_• • • Global Capital Securities, Inc. ) ' Gary S. Reamer ) \ ' - - Dennis J. Raster as Trustee for ^G ) U - - Gary S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between £?ame of Claimant: {s i Alvina Brandon 89-0X659, 89-01683, J " 90-01769 and Name of Blinder Robinson & Co., Inc. Msyer Blinder Harvey Cohen Blinder International Enterprises, inc. liil u ^-t I! FEB I 5 1991 Alvina Brandon, Sanford 0. Klein, Paul T. Ferda, Jr. and Mprl C. and Han I. Willbanks (collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Patricia A. Tugman, Ind. & as Parent and Custodian for Justin J. Tagman 9(W)1768 Name of Respondents ) Chatfield Dean & Co., Inc. John W. Watton Michael A. Lapp In a claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about June 22, 1990, Patricia A. Tugman, "*»*"£' and as Parent and Custodian f

c NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION DEPARTMENT In the Matter of the Arbitration Between: DENNIS J. DRESCHER, Claimant, v. 'DJ'^ifitf APR 06 2001 NASD-DRNo.01-00683 Hearing Site: Chicago, Illinois THOMAS D. BRISBIN, LINDA M. BRISBIN, ) SMITH BARNEY, INC., and CARL MAXCEY, ) Respondents. ) STIPULATED AWARD REPRESENTATION OF PARTIES: Claimant Dennis J. Drescher is represented by John T.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Art tration Between Katherine N. Caruso Claimant vs. - " F.N. Wolf and Company, Inc. and Charles Letizia Respondents Case #90-01759 AWARD CASE SUMMARY Katherine N* Caruso, in a claim filed with the National, Association of Securities Dealers, Inc. on June 21, 1990, alleged that Respondent Charles Letizia while employed at F.N. Wolf and Company, Inc. neglige

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Southtowns Animal Hospital Dr. Robert F. Hirt Claimants vs. Andrew Alen Securities, Inc. Michael Clark Respondents CASE #90-01757 AWARD CASE SUMMARY Southtowns Animal Hospital and Dr. Robert F. Hirt, Pres. f in a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1990, alleged that Respondent Michael Cl

M.A.S.P. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant* si Jerry Barshatky 90-01754 Name of Shearson Lehman Hutton, Inc Dan Bruno Palmar Fatten National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant, Jerry Barshatky: Brian H. Mahany, Esq. For Respondents, Dan Bruno, Shearson Lehn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration between Sally N. Ligotino Claimant AWARD vs. F.N. Wolf & Co., Inc. and Charles Letizia Respondent Case #90-01753 CASE SUMMARY Pro Se Claimant, Sally N. Ligotino, in a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1990, alleged that Respondent F.N. Wolf & Co., Inc. and Charles Letizia recommended unsuitable Automot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Zoltan S. Mason vs. Cowen & Company, Inc. Claimant CASE* 90-01750 Respondent Heard before: John Edward McCracken Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, 1990 the Claimant Zoltan S. Mason alleged the Respondent Cowen & Company, Inc. sold 1,000 shares of Middle South

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. ) In the Matter of the Arbitration Between ) ) Nick J. Constantinides ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01749 Shearson Lehman Hutton, Inc. ) Keith Yonkers ) Edward Bonn ) Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 19, 1990. Claimant alleged: 1. Violation of Article