Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Laura D. Hawkins, Claimant Vs. Case Number: 00-04900 Auerbach, Pollak & Richardson, Inc., and Vincent Poliseno, Respondents. Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Laura D. Hawkins ("Claimant") was represented by James P. McCrocklin, Esquire, Louisville, Kentucky. Respondents Auerbach, Pollak & Richardson, Inc. ("APR") and Vin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00049 AWARD In the Matter of the Arbitration Between Jack & Anne Sterling Claimants vs. Shearson Lehman Brothers, Inc. Seymour Antin Respondents CASE SUMMARY Pro Se Claimants Jack and Anne Sterling, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent Seymour Antin while a registered representative with Shea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00046 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Dominick T. Peburn Respondent CASE SUMMARY PaineWebber, Inc. by its attorney, Joel E. Davidson, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers , Inc. on January 3, 1991, alleged that Respondent, Dominick T. Peburn, failed to satisfy a debit balance in hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Shapiro and Stephen Shapiro d/b/a Yonkers Sales Company Claimant vs . CASE #91-00043 AWARD Ariel Equities, Inc. and Yaacov Ariel Respondents Heard Before: Daniel E. Gulden Public Arbitrator REPRESENTATION The Claimant appeared pro se and .the Respondents were represented by Noel Guardi, Esq. who conducted the hearing over the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00040 AWARD In the Matter of the Arbitration Between Alan LaBonde Claimant vs. First Affiliated Securities Gary Finke Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, Claimant Alan LaBonde who appeared Pro Se, alleged that Respondent Gary Finke recommended the unsuitable investment of a Limited Partners

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane R. Ryan Claimant vs . AWARD Prudential Securities, Inc. James Somes Respondents CASE #91-00032 CASE SUMMARY Pro Se Claimant, Jane R. Ryan, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondents executed unauthorized stock and option trades in her account, forged her si

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfeXJURITJES DEBIERS In the batter of the Arbitration Between Name of Mary Aon Barragy, Individually and as Trustee 91-00025 Merrill Lynch, Pierce, Fenner & Smith, Inc. Logan D. Fitch For Claimant: Mary Ana Barragy, Individually and as Trustee, was represented by Carol A. Bavousett, Esq., San Antonio, Texas. For Respondents: Merrill Lynch, Pierce, Fenner & anith. Inc. and Logan. D. Fitch were repres

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant David Cherry and 91-00024 ~ - -*w Name of Respondent. CounterClaimant and Third Party Claimant PaineWebber, Inc. Name of Third Partv Respondent Jeff Hayes REPRESENTATION OF PARTIES Claimant David Cherry was represented by Stuart S. Goldberg, Esq., Austin, Texas. Respondent PaineWebber, Inc. was represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of George & Nadine Luther Name of Respondents 91-00021 Smith Barney Harris Upham & Co . f Inc . Ronald Bateh Jeffrey B. Morrison Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimants: For Respondents: Barbara B. Stalzer, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-00020 AWARD In the Matter of the Arbitration Between Richard Fan Claimant vs. First Choice Securities, Inc. Respondent : CASE SUMMARY Richard Fan, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1991, alleged that Respondent First Choice Securities, Inc., through their brokers, Glenn Parham, Chris Jones and Daryl Newton, misrepr