NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) j Barbara Haskin Niven Trust ) By Janet Swords and ) Nicholas Niven, Trustees ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01485 Shearson Lehman Hutton, Inc. } Leiqh Poland > Respondents ) REPRESENTATION Claimant was represented by Douglas W. Oldfield, Esq. of Carmel, California. Respondents were represented by Harry T. Walters, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Harry and Lenore Bloom Name Of 90-01479 Michael H. Novick and M. H. Novick and Co. CASE SUMMARY i »• In a claim filed with the NASD on or about May 25, 1990 r Harry and Lenore Bloom (collectively "Claimants") alleged that Michael H. Novick and M. H. Novick and Co., (collectively "Respondents"): 1) made untrue statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken Name of Jennie S. and Sandra E. loket 90-01476 Name of Respondent ( s \ Dean Witter Reynolds, Inc. Jane P. Saunders Claimants Jennie S. Loket and Sandra E. Loket wre represented by Jim Guy Tucker and W. Kirby Lockhart of the Law Offices of Mitchell, Williams f Selig & Tucker of Little Rock, Arkansas. Respondents Dean Witter Reynolds

N.A.S.D. AHftKD ASSOCIKnCN OF SECORECXES TTBRTKRS In the Matter of the Arbitration BetMoen Name of MacBryant, Inc. 90-01475 Stuart- JauMiti Ooopany Incorporated C. James Padgett Maze M* Geman Stuart Graff Ellen Sakamoto For < *i»-i«i*tifr» MacBryant, Inc. was represented fay J. Je»oaiB Stanley, B0q[* f Baton Rouge, Tfnilslima. Star Reflpnkntst Tba Stuart-JanM Cbapany Incorporated, C. James Padgett and Marc M. GMKI were rcprcoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Enrna Grande Claimant vs. Greystone Nash, Inc. Respondent Case #90-01473 AWARD CASE SUMMARY Emma Grande, in a claim filed with the 'National Association of Securities Dealers, Inc. on May 22 , 1990, alleged that various representatives of Respondent, Greystone Nash, Inc . , solicited stock purchases from her that were listed on the confirmation

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Ellerbe and Scotty L. Ellerbe v. Raike Financial Group, Inc., and Steven Messina Case No: 00-04774 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Robert F. Ellerbe and Nicholas D. Thomas, Esq. Scotty L. Ellerbe Raleigh, North Carolina ("Claimant") For Raike Financial Group, Inc. Ruthann G. Niosi, Esq. ("Raike") Law Offices of Ruth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary PapaJohn Harris Alice PapaJohn Claimants vs. John Reed, Michael Graziano, Brian O'Keefe and Citicorp Financial Services : Respondents CASE 490-01467 AWARD CASE SUMMARY Claimants Mary Papajohn Harris and Alice Papa John r in a claim filed: with the National Association of Securities Dealers, Inc. on May ?3 , 1990 , alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : •• Ann and Wayne Steinart s Agnes C. Hayman • • Claimants : CASE #90-01464 vs. : AWARD Allied Capital Group Philip Jay Cooper Respondents CASE SUMMARY Pro Se Claimants Ann and Wayne Steinart and Agnes C. Hayman, in a claim filed with the National Association of Securities Dealers, Inc. on May 23, 1990, alleged that Respondent Philip Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ri Theodore and Bella Ruderman 90-01459 Name of Respondents Shearson Lehman Hutton f Inc. (n.k.a. Shearson Lehman Brothers , Inc . ) and Lou Provenzano For Claimant: Richard Slavin, Esq. of Cohen and Wolf, P.C. For Respondent: William Ifohauser, Associate General Counsel, Shearson Lehman Brothers, Inc. Statement of Claim

M.A.S.D. AWARD Arbitration •< *> NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - Name of Claimant 2oe M. Tillson vs Name of Respondents Donaldson Lufkin & Jenrette Securities Todd Kanter Mark H. Fiskio National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-01457 Heard before the members of the Arbitration Panel: