N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Mary Ellen Powers 89-03154 Mama of Respondents Queen City Securities Corporation H. Garrett Frey CASE SUMMARY Claimant, Estate of Mary Ellen Powers {hereinafter "Claimant") alleged that Respondents, H. Garrett Frey and Queen City Securities Corporation (hereinafter "Respondents") never explained to the Claimant material informatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Kathyrn Wilcox Claimant(s) vs. 89-03151 Prudential-Sachs Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Robert and Kathyrn Wilcox alleged that Respondents) Prudential-Bache Securities, Inc. negligently mishandled Claimants' transfer order. Respondent(s) denies Claimants' allegations. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. Harris Enterprises, Inc. et al Claimant(s) vs. 89-03148 Shearson Lehman Button, Inc. Prudential-Bache Securities, Inc., et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Larry E. Harris Enterprises, Inc. et al alleged that Respondent(s) Shearson Lehman Hutton, Inc. Prudential-Bache Securities, Inc., et a

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) Robert, Cynthia and Janice ) Danielewski ) ) Case No. 89-03147 ) ) Jeff Zack ) L.F. Thonpeon & Co. ) Otra Clearing, Inc. ) ) _ , _ ) Heard before the Arbitrator: Roger c. Benson CASE SDMWr This claim was filed with the National Association of Securities Dealers, Inc., on November 10, 1989. The hearing was conducte

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Warren Sharpenberg Claimant(s) vs. 89-03146 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Warren Sharpenberg alleged that Respondent(s) Prudential-Bache Securities, Inc. failed to supervise the actions of an employee with respect to a $5,000.00 loan. Respondent(s) maintain that the loa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02912 Olde Discount Corporation, claimant vs. Margaret Hammons, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Legal Department, Olde Discount Corporation, Detroit, Michigan. Respondent Margaret Hammons ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/25/1999 CASE SUMMARY: Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Lesley Cowenhoven Claimant vs. Case #89-03139 AWARD Shearson Lehman Hutton, Inc. and William R. Cosbob Respondents CASE SUFHARY Claimant, Lesley Cowenhoven, alleged that Respondent, Shearson Lehman Hutton, Inc. and William R. Cosbob, placed her account into unsuitable investments, violated the "know you customer" rule, engaged in unauthorized

Arbitration N.A.S.D. AWARD National Association of Securities Detters. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS *« Natlona , P ,aza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Jack S. Nalson 89-J03126 Sherwood Capital Inc. James Mariani CASE SOUKS In a claim filed with the NASD on or about November 11, 1989, Claimant: alleged that Sherwood Capital, Inc. and James Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael and Adeline Verbiar Claimant(s) vs. 89-03125 PaineWebber, Inc. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Michael and Adeline Verbiar alleged that Respondent (a) PaineWebber, Inc. executed a large amount of trades in Claimants' account in order to generate large commissions without regard to the safety of Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Hunken Claimant(s) vs. 89-03124 Rosenkrantz, Lyons & Ross, Phillip Carducci and Lewco Securities, as agent for Wetheira Schroder, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Richard Hunken alleged that Respondent (s) RosenJcranz, Lyons & Ross, Phillip Carducci and Lewco Securities, as agent for Weth