NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Innocenti Claimant)s) vs . Roger 0. Riney and Scottsdale Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-01748 CASE SUMMARY Claimant(s) Robert E. Innocenti alleged that Respondent(s) Roger 0. Riney and Scottsdale Securities, Inc. failed to notify him of a call to tender warrants. Respondent(s) maintain that the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s) Robert J. & Ida Grosso 90-01746 Name of Respondentfs^ Butcher & Singer, Inc. Dorothy B. Conca Heard before: Name Public/Industry Dorothy F. Gray Public Arbitrator Claimant, RDfoert J. and Ida Grosso ("Claimants"), alleged that Respondent, Butcher & Singer & Co., Inc. and Dorothy B. Conca ("Conca") sold without pe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Robert W. and Claris F. Jentsch Claimants vs. Case #90-01742 Johnston Lemon & Co., Inc. David D. Fitzgerald Lazard Freres & Co. Respendents MODIFIED AWARD REPRESENTATION For Claimants: Robert W. and Claire F. Jentsch appeared pro se. Claire F. Jentsch was not present at the hearing. For Respondent: Johnston Lemon & Co., Inc. was repr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stanford Group Company Case No. 01-00680 Hearing Site: Boca Raton, Florida Name of Respondent Pablo F. Droira Name of Third Party Claimant Sandra S. Droira REPRESENTATION OF PARTIES For Stanford Group Company ("Stanford") hereinafter referred to as "Claimant": Rebecca Hamric, Attorney, Stanford Financial Group Company, Houston, Texas, and af

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between Name of Fred H. Mair, Muriel Meir and the Estate of Chad J. Meir 90-01740 Name of Respondents Shearson Lehman Hutton, Inc. Bernard Casey Poupore Terese Catherine Lsmberg Fred H. Meir, Muriel Ifeir and the Estate of Chad J. Mair, an adult, were represented ty Stephen I. Dokken, Esq., Soottsdale, Arizona. Shearson Lehman Brothers, Inc., B

Arbitration ® NATICKAL ASSOCIATION OF SRJUklTIKS DEALERS In the Matter of the Arbitration Between" of Marc Ira Escn, and Penm Consulting, Inc. 90-01739 of First Albany Corporation Michael J. Palazzo For Claimants: Robert J. Lurm, Esq. of Bbltzberg &. Lunn. For Respondents! Michael A. Brad/, Esq. of Hagerty & Brady. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alan Jay Jenks 90-01737 Name of Respondent John G. Kinnard and Company, Inc. OF Alan Jenks was represented by Stuart N. Bennett, Esq. and Wesley B. ifcward, Esq. of Brega & Winters, P.C., Denver, CO. John G. Kinnard & Co., Inc. was represented by F, Chet Taylor, Esq. and Ted S. Meikle, Esq. of Fredrikson s Bryon, Minneapolis, MN. In a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ttotter of the Arbitration Between Ejame of Clement Lee 90-01736 Name of Rescondentfsl Prudent.! al-Bache Securities Inc. Joseph Fisher Heard before: Name Public/Industry Marcus Gracia, Jr. _ PUBLIC / Chair_ Maurice Arth _ PUBLIC _ Frank Bosl INDUSTRY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAEJERS In the Matter of the Arbitration Between Name of Claimantfsi Elizabeth Bunting 90-01728 Name of Wadsworth Investment Ccnpany, Inc. William F. Wadsworth Heard before: Name Public/Industry Deborah Sherman, Esq. Public Arbitrator Pauline Mistretta Industry Arbitrator Milton H. Lehrer Public Arbitrator Claimant, Elizabeth Bunting was represented by Henry Sanchez of Butler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ifetter of the Arbitration Between Name of riaiTnant.fi Audrey H. Jassenoff Jerome Jassenoff Laurie B. Jassenoff 90-01719 Name of Respondents Shearson Lehman Hut ton, Inc. Leonard S. Altamura Steven M. Gross For all Claimants: Dennis J. Drasco, Esq. of Lum, tfoens, Conant & Danzis For all Respondents: Paul R. Williams, Esq. of Schupbach, Williams & Pavone INPDRHBT1HI