MATIONRL ASSOCIATION OF SECURITIES HEALERS *n the ^fetter of the Arbitraticn Ee".veen Mame Of n a.imam: f .q i Paul & Mary P. Renoa ^"TivROS Mame of Respondent i;s > Prudentiai-Bacne Securities :.~c. Albert C. Adam Heard before: Name. Robert Rose Public James Gormsen Public George Rosen Industry Claimants represented themselves. Respondents were represented by David Becker, Esq. of Prudential-Bache Securities, Inc. This natter wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant, Byung K. Cho 90-02158 Name of Respondents Msrrill Lynch, Pierce Fenner & Smith Inc Robert L. Allen For Claimant: Stephen J. Holden r Esq. of DePere r WI. For Respondents: Michael E. Qlney, Esq. of Marrill, Lynch, Pierce, Fenner & Smith, Inc., New York r New York. Statement of Claim filed: August 7,

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Bateman Eichler,Hill Richaros , Inc . 90-02155 Name of ResporHgnr t g \ George S. Kadey, Jr. Claimant was represented by Theodore F. Gripkey, Jr. , Esq. , 21 Bateman Eichler, Hill Richards, Inc.. Respondent represented himself . K STMMRRY This matter was initiated by a Statement of Claim filed with -he National Association of Se

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02153 AWARD In the Matter of the Arbitration Between Anthony Buonnadonna Claimant vs . Robert Frisco Respondent CASE SUMMARY Anthony Buonnadonna, in a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1990 , alleged that Respondent Robert Prisco made an unauthorized purchase of 1,000 shares of Ventura, Inc. on March 13, 1990- Claimant furth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02151 AWARD In the Matter of the Arbitration Between Stephen Arnold Claimant vs. Lombard Securities Respondent CASE SUMMARY In a claim filed wi'th the National Association of Securities Dealers, Inc. on August 7, 1990, Claimant, Stephen Arnold who appeared Pro Se, alleged that on December 28, 1989, Respondent Lombard Securities executed unauthorized trades of stock in his

-NATIONAL ASSOCIATION OF "SECURITIES DEALERS, INC CASE 90-02150 AWARD In the Matter of the Arbitration Between A. Kendell Oulie Claimant vs . Smith Barney, Harris Upham & Co., Inc. Frank G. Zarb Respondent CASE SUMMARY Pro Se Claimant, A. Kendell Oulie, in a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1990, alleged that Respondent Smith Barney, Harris Upham & Co., Inc. , Frank G. Zarb, C

- * 0 Q 1 i 2! 3! 4i SI 6 7i 81 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION NASD Case No. 90-02148 ARBITRATOR'S RULING ON CLAIM ROBERT MIKLOSKI and MASAE MIKLOSKI , v- SENTRA and W. Claimants, SECURITIES CORPORATION SKIP YOUNG, Respondents .

NASID A c: n Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alvin and Judith Rosenfeld vs Name of Respondents Shearson Lehman Hutton, Inc. Irwin Schachter 90-02147 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Ellen G. Margolis, Esq. of Serchuk & Zelermyer. For Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration-Between ) ) Richard B. Stern ) Claimant ) ) AWARD vs. ) ) NASD #90-02145 Douglas McKenzie ) Respondent ) _ ) SUMMARY OF ISSUES Claimant alleged Respondent misrepresented the risks and investment potential of limited partnership units of Columbia Lease II-B. Respondent denied Claimant's allegations and responded that Claimant, an unusuall

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth A. DeLonge, (Claimant) vs. J.W. Barclay & Co., Inc., John Bruno, and John J. Cioffoletti, (Respondents) Case Number: 00-04817 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kenneth A. DeLonge, hereinafter referred to as "Claimant": David K. DeLonge, Esq., Schumann, Hanlon, Doherty, McCrossin & Paolino, Jersey City, NJ. Respondent, J.W. Barclay