N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMERS In the Matter of the Arbitration Between Name nf Claimant:fs) Margy M. Chohrach 90-02141 Name of Respondentls) Charles David Young IDS Financial Services Inc. Claimant Margy M* Chohrach appeared gcc. §g. Respondents IDS Financial Services, Inc. and David Young were represented by Steven A. Ashelphol, Esq. of Schumacher and Achelphol. In a Statement of Claim filed with the National

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; r PaineWebber, Inc. ; i Claimant ; ; CASE* 90-02140 vs. ; \WARD t Sorrentino ' / Respondent ; CASE SUMMARY PaineWebber, Inc. by its attorney Joseph F. Generelli, Weehawke.n, N.J. in a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1990, alleged that Respondent and customer Henry Sorrentino, faile

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/si James T. Reay 90-02138 Name of Respondent/s^ Shearson Lehman Button, Inc. Berthold Turner IT/Industry Public/Chair Public Industry \ Claimant was represented by: John Lawrence Alien, Esq. Respondents were represented by: Terry Ross, Esq. of Keesal, Young & Logan. This matter was initiated by a Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jerry & Georgianne Ciotola 90-02132 Name of Respondent Spencer-Winston Securities Corporation For Claimants: Appeared pro se. For Respondent: Oscar Echman, President of Spencer-Winston Securities CASE Statement of Claim filed: August 6, 1990. Claimants' Submission Agreement signed: September 4, 1990. Statement of Answe

Arbitration N.A.S.D. AWARD NKTICNRIi ASSOCIATION OF SBCDRITTES DEALERS In the Matter of the Arbitration Between Name of Clalimnts Rrtmmri and Louise latif vs. Name of Respondent Anthony J. Pontieri National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX {212) 858-4389 Case # 90-02129 For Claimants; flan Marchitello. For Respondent: Pro se. CftSE IHFCB

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charlotte A. Morrow Claimant vs. CASE #90-02128 AWARD McLaughlin, Piven, Vogel Securities, Inc. Nicholas K. Mennona Respondents CASE SUMMARY Charlotte A. Morrow, in a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1990, alleged that Respondent Nicholas K. Mennona, a Vice President with Respondent McLaughli

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01980 AWARD In the Matter of the Arbitration Between George Kleback, Jr. Claimant vs. Michael Yarbrough A.G. Edwards & Sons, Inc. Respondents CASE SUMMARY Claimant George Kleback, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1990, alleged that Respondent and broker, Michael Yarbrough while employed at A.G. Edwards & Sons, Inc.

In the Matter of the Arbitration Among Lorenzo Morello Julie Morello Claimants vs. AWARD #90-01977 Prudential Securities, Inc. Christopher F. Roach Respondents Heard Beforet Joseph R. Papo Industry Arbitrator Ralph J. Sirlin Public Arbitrator Edward C. Pedersen Public Arbitrator REPRESENTATION Claimants, Lorenzo and Julie Morello ( "Morellos"), were represented by Anthony V. Trogan of Weisman, Trogan et al. Respondents, P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henry Kaye Claimant vs. Prudential Securities, Inc. Respondent AWARD Case #90-01976 CASE SUMMARY Henry Kaye, represented by A. Grant Bohl, Sarasota, Florida, in a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1990, alleged that Respondent failed to meet the obligations of a fiduciary relationship, did not reco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04814 Universidad Politecnica de Puerto Rico Names of the Respondents Hearing Site: Boca Raton, Florida R.K. Grace & Company a/k/a and/or d/b/a R.K. Grace & Company, Inc. and Roberto Luis Perez REPRESENTATION OF PARTIES For Universidad Politecnica de Puerto Rico ("Claimant"): Ramon E. Davila-Carlos, Esq., Bauza & Davila, Old San Juan, P