N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In -the Matter of the Arbitration Between Alan and Lynda Herring 90-02426 Name nf Wedbush Morgan Securities Inc. In a claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about August 31 f 1990 Alan and Lynda Barring ("Claimants") alleged that Wedbush Morgan Securities, Inc. ("Respondent") failed to notify or inform them of two conversions of Consec

NATIONAL ASSOCIATION OF SECURITIES, INC CASE #90-02417 AWARD In the Matter of the Arbitration Between Donald and Ilene B. Raphael Claimants vs . Stifel, Nicolaus & Co., Inc. Gale Wickell Michael Schlueter Respondents CASE SUMMARY Donald and Ilene B. Raphael, in a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1990, alleged that Respondents are responsible for the terms of an agreement

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: David Feinsilver 90-02415 Name of Respondents Pittock Financial Corporation RAFCO Financial Corp. RAF Financial Corporation Wally Sotter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Morgan W. Bent ley, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Jfetter of the Arbitration Betwaen Name of Claimant Rose Bradley 90-02414 Name of Respondents Janney Montgomery Scott Inc. Douglas Bevers For Claimant: Harris J. Chernov, Esq. For Respondent: Anthony D. Reagoso, Esq. Statement of ClaJin filed: August 31, 1990. Joint Statement of Answer filed: February 5, 1991. Submission Agreements signed: Rose Bradley ("Bradley")

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of £. Herbert Newman and John E. Neuron 90-02412 Mama nf Ttomrnrittrrt^ Jack Fernandez Boucher, Oehmte & Qiinn Bryce Boucher Donald Oehmte Heard before: Robert Gleichenhaus , Esq. Public Claimants were pro se. Respondent Jack Fernandez was pro se. This natter was initiated by a Statement of Claim filed with the National Ass

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph J. Choinski Claimant vs. Michael Coulombre r Ted Rubin and First Fidelity Capital Corporation Respondents Case #90-02410 AWARD CASE SUMMARY Joseph J. Choinski, in a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1990, alleged that Respondents failed to execute his sell order for three thous

Arbitration ~ N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between of Wallace C. Hanger AWARD 90-02404 Name of Respondents Shearson Lehman Brothers, Inc. American Municipal Securities, Inc. Brian Martzolf National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Edward L. B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-4855 Teriena Safari, Ramin Kermanshahi and Farideh Amirsalari Claimants vs. Bluestone Capital Partners and David A. Lazerson, Respondents. ATTORNEYS: Claimants, Teriena Salari, Ramin Kermanshahi and Farideh Amirsalari ("Claimants"), appeared Pro Se., through Teriena Salari, Woodbridge, VA. Respondent BlueStone Capital Partners, L.P. ("Respondent") appeared through its General Couns

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between x x Caroline Potenza x Claimant x x CASE NO. vs. x 90-02400 x First Investors Corporation x AWARD and Henny Reiser x Respondents x ____ x CASE SUMMARY Claimant, Caroline Potenza ("Potenza"), alleged that the Respondents, First Investors Corporation ("First Investors") and Henny Reiser ("Reiser"), engaged in risky and unsuita

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^ _ ^ In the Matter of the Arbitration Between u y» v . 0 . ' u * » o jy^3 Name of Claimants -_ Jess & Martha Dicus 90-02398 Name of Respondent Dean Witter Reynolds. Inc. For Claimants at the hearing: Michael A. Meyer, Esq. For Respondent at the hearing: George D. Sullivan, Esq. of Dean Witter Reynolds, Inc., New Yoik, New York. • | X CASE INFORMATION ^