N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between } ) Name of riaimantfs) ) ) Jack J. Waldnran ) ) ) Case No. 90-00710 Mane of Prudential-Bache Securities Inc. ) David H. Sagerman ) _ ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Judy Avey S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on March 8, 1990. The hearing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Betsreen Name of Claimant^ s^ George Speriak 90-00709 Name of RegponHpnt-1 s > Piper, Jaffray & Ifopwood, Inc. Calvin G. Heisler Bernard Vfoody Claimant George Speriak was represented by S. lee Terry, Jr. of Gorsuch, Kirgis, Cangbell, Walter and Grover Located in Denver, Colorado. Respondent, Piper, Jaffray & Hopwood, Inc. was represented by John S.

NASH N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tfetter of the Arbitration Between Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Julie Jtosbein Nams of Case No. 90-00704 Greentree Securities Corp. Gary Messinger J.F. Lowe & Co., Inc. Heard before the arbitrator: Craig Edward Stein, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between and Among ROMAINE C. MATHEWS, Claimant, Case No. 90-00703 vs. ADVEST, INC., LAWRENCE CORNA AND BOB FOX, Respondents. AWARD Case Summary Claimant Romaine Mathews ("Claimant") alleged that Respondent Lawrence Corna ("Corna") made material misrepresentations to her husband, George Mathews, now deceased, to induce him to purchase Putnam High

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sattar Claimant vs . Lawrence Baras, Jeffrey Casdin, and Kenneth Boch " Respondents X X X X X X X X X X X X CASE NO. 90-00702 AWARD CASE SUMMARY Claimant, Dale Sattar ("Sattar"), alleged that Respondents Lawrence Baras ("Saras") and Kenneth Boch ("Boch") improperly executed orders

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David W. Pitts Claimant(s) vs. Securities Settlement Corporation Allegiance Securities, Inc. and Duane LeGate Respondent(s) CASE #90-00699 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 8, 1990 , Claimant David W. Pitts who appeared Pro Se, alleged that Respondent Duane LeGate an accoun

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Kruse, (Claimant) vs. Sands Brothers & Co., Ltd. and Peter Pak, (Respondents) Case Number: 00-04687 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Peter Kruse, hereinafter referred to as "Claimant": Adam C. Silverstein, Esq., Golenbock, Eiseman, Assor & Bell, New York, NY. Respondents, Sands Brothers & Co., Ltd. ("Sands") and Peter Pak ("Pak"), here

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC- In the Matter of the Arbitration Between Debbie L. Hwang Claimant Case #90-00694 vs. Award Shihsuey Pai Respondent CASE SUMMARY Claimant, Debbie L. Hwang ("Hwang") f alleged Respondent, Shihsuey Pai ("Pai"), engaged in unauthorized trading in her account. She further stated Respondent removed money from her margin account to purchase options. Claimant also contended Pai executed th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marisa A. Wahler Claimant vs . Sacks Securities, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-00690 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Taggart Inc. t/a Ronald Folk & Co., Ronald Folk, Gary Vogt and Thomas W. Brucia Claimants vs. Lawrence E. Heller Robert Langsam Diversified Financial Management Brekne Corporation USLife Equity Sales Corp. United States Life Insurance Company Respondents CASE* 90-00684 Heard before: Murray I. Sommer, Esq. Jack Friedman, Esq.