N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02926 Ammar Ateyah, claimant vs. Ameritrade, Inc. respondent. ATTORNEYS: Claimant, Ammar Ateyah ("Claimant"), appeared Pro Se., Gainesville, FL. For Respondent Ameritrade, Inc. ("Respondent"), James J. Vihstadt, Ameritrade, Inc. Bellevue, NE. DATE FILED: June 28, 1999 CASE SUMMARY: Claimant alleged that because of a margin call and Respondent's inefficient

N.A.S.D. NAUCNRL ASSOCIATION OP SECURITIES DEALERS In the Matter of tte Arbitration Between Suit* 1«80 Thru f\m National Chicago, H. «0«02 (3121 899-4440 George j. and Barbara E. Tenneasen 89-03235 Stuart Bianchi and Securities, Inc. tfcttman In tteir Statement of Clain Genoa alleged varioua ftm of InfoaHtion by Stuart Blanch! ( to thai of detain limited partnership the cl«ba« of tte and withholding of oxnocticn «

Arbitration N.A.S.D. AWARD National Aasociation of . Sacuritias Daalars. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALEPS Three First National Plaza Chicago. IL 60602 (312) 899-4440 In the totter of the Arbitration Between Name of Claimant(s\ McDonald Whang 89-03231 Name of P**f*cr' n ''iBn.ti(S). Prudential-Bache Securities Inc. Ken Chai J.H. Kim CASE SOMRT McDonald Whang ("Claimant") allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Esposito 89-03224 Hyer, Bikson & Hinsen, Inc. and David G. Ninci David w. Esposito ("Claimant") alleged that an agent of Hyer, Bikson & Hinson, Inc. ("Respondent") made unauthorized trades in Bailey options, index options, and Wolverine World Wide stock. (David G. Ninci was dismissed as a party to this action without prejudiced since he was n

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter'of the Arbitration Between ) ) THEODORE AND JOAN LORENC, ) Claimants, ) ) Case #89-03223 ) Award vs. ) ) OLDE DISCOUNT CORPORATION, ) Respondent. ) ) Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on November 16, 1989. The hearing was conducted in Tampa. Florida on May TL5, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CAROLE W. DAVIS CLAIMANT V. AWARD #89-03220 SHEARSON LEHMAN HUTTON, INC. AND CHARLES LEWIS RESPONDENTS CASE SUMMARY The Statement of Claim was filed on November 16, 1989 Claimant, Carole W. Davis alleged that Respondent, Shearson Lehman Button, Inc. and its agent, Charles Lewis a Vice President and Financial Consultant deliberately, wantonly and recklessly engaged in unsuitable tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of William B. Gordon, Stuart Gordon, and Malcolm Gordon executors and Malcolm 3. Gordon Claimant(s) vs. 89-03213 Shearson Lehman Button, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Estate of William B. Gordon, Stuart Gordon, and Malcolm Gordon executors and Malcolm B. Gordon alleged that Respondent(s)

Arbitration riATICNAL .-SSOCIATION OF SECURITIES DE In tne Matter of the Arbitration Hecween o National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 James & Joann Chamberlain vs. of Respondents Case # 89-03212 Award Sherwood Capital, Inc. Mark Malone Carl Sorano SUHOHT This claim was filed on Novencsr 16, 1989. Claimants, James and Joann Chamber

NATIONAL ASSOCTATTON~OF SECURITIES DEALERS^TMT. In the Matter of the Arbitration Between John Prince Claimant vs. Monmouth Investments, Inc. John Freeman David Haber Steve Hersh Ann Trenton Larry Zuliani Ed Ransom Respondents AWARD Case tB9-03207 CASE SUMMARY Claimant asserts that he purchased stock of Corporate Capital Resources on the basis of misinformation, and without ever receiving a prospectus. Further he a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cynthia J. Evans Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-03201 Allied Capital Group Respondent(s) CASE SUMMARY Claimant(s) Cynthia J. Evans alleged that Respondent(s) Allied Capital Group executed an unauthorized purchase in Claimant's account. Respondent(s) denied the allegations of Claimant and demanded strict proof that the sell order in que