NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wall Street Clearing Company vs. Balboa, Inc. Claimant AWARD Respondent CASE 188-03976 CASE SUWARY Claimant seeks a debit balance created in Respondent's account in 1987 when 5,000 shares of ATI Medical, Inc. were purchased in November 1987; a tendered check was returned by the bank; and a resultant liquidation of 2,000 shares occurred on Januar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ( s \ Bevis & Nelson Nickerson 89-00002 Shearson Lehman Mutton, Inc. Eugene Gamble James Methven This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 17, 1989. Claimants alleged that Respondents placed Claimants in unsuitable investments, namely real estate limited partnerships,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Between wi Llisii; L. and ?r»nricia V. atsliwood 89-00010 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Merrill Lynch Money Markets, Inc. and Merrill Lynch and Co. OP PRTIES Claimants were represented by Stuart Bennett of Brega & Winters, P.C. of Denver, CO. Respondents were represented by Elizabeth W. Sachs and Vic McWherter of Paul, Hastings/ Janofsky & Walter of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDWARD STANTON MAXEY, M.O. ) Claimant(s) ) ) and ) CASE NO. 88-03699 ) PAINEWEBBER, INC. ) ) Respondent (s) ) CASE SUMMARY In a claim filed with the NASD on or about March 16, 1989, Claimant Edward Stanton Maxey, M.O. ("Claimant") alleged that Respondent PaineHebber, Inc. by and through its employee George Allen executed unauthorized tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) WILLIAM G. NOBLE, JR. ) Claimant ) and ) ) CASE NO. 88-03875 ) BEAR STEARNS & CO., INC.; HILL A. FEINBERG; HEATHER R. DUNDAS AND ) JOY JOHNSON ) Respondents ) CASE SUWARY In a claim filed with the NASD on December 20, 1988, Claimant William G. Nobel, Jr. alleged Respondents Bear Stearns & Co., Inc.; Hill A Feinberg; Heather R. Dundas a

9 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration NiUoral AMockrtlort of Sccurttk* Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Rorica 33301 (305) 522-7391 In the Matter of the Arbitration Between of David Stein, Bather Stein and Barbara Stein, individually and as custodian for Todd and Craig Stein Nnre of Re Raymond James & Associates, Inc. Daniel Law Dailey Douglas Mo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert J. VanHorn & Claire G. VanHorn vs. Claimant(s) Olde Discount Corporation Respondent(s) NOTICE OP ARBITRATION AWARD 88-03662 CASE SUMMARY Claimants Robert J. VanHorn & Claire G. VanHorn alleged that Respondent Olde Discount Corporation never delivered securities purchased and as a consequence Claimants lost legal rights when the issuing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Helene Dollinger Claimant vs. Case =88-03891 AWARD Northeast Savings Bank and Invest Respondents CASE SUMMARY Claimant Helene Dollinger alleged that she told the representative of Responcent Invest that she Canted to purchase on IRA that was safe and suitable for her needs. Claimant alleged that the representative of the Respondent Invest recomm

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) t PETER J. MAY Claimant } v. ') CASE NO. 88-03531 SHERWOOD CAPITAL, INC. ) Respondent j CASE SUMMARY In a claim initially filed on or about November 4, 1988 and amended on or about January 14, 1989, the Claimant alleged that the Respondent encouraged him to invest in an unsuitable stock purchase. The Claimant further alleged that excessive commissi

Awara NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between Name of Claimant Bynor Corp revision Profit Sharing Trust Case No. 99-03405 Name of Respondent Web Street Securities, Inc. REPRESENTATION OF PARTIES For Bynor Corp. Pension Profit Sharing Trust ^"Bynor 11 ), hereinafter referred to as "Claimant": W. Andrew Clayton, Jr., Esq. of Wallace, Browning, Clayton & Krawetz, Sarasota, Florida. For Web? Street Securiti