NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen 0. Warinsky Claimant(s) vs. 89-02931 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Delight R. Green Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Helen 0. Warinsky alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Delight R. Green sold securities to Claimant which were unsuitable and failed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between") ) ) ) Worry A. Koppal Shearson Lehman Hut ton, Inc. Case No. 89-02929 Heard before the Arbitration Panel: Arthur J. Laibell, Esq. Jack C. Aycock Harry Polanaky Public Industry Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on October 19,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Jones Claimant(s) vs. 89-02925 Sprung & Wise Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Jones alleged that Respondent(s) Sprung & Wise Securities, Inc. made an error in the quoted price. Respondent did not respond. RELIEF REQUESTED Claimant(s) Richard P. Jones requested dam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Q ^ Paul R. Carr Case #89-02921 Martha A. Carr Award vs. Name of Be8Ponden.t(g] Gruntal & Co., Inc. < 3ary A. King The Statement of Claim was filed on July 18, L'Jin. claimant*, Paul R. Carr & Martha A. Carr alleged that Respondents, Gruntal & Co., Inc. and Gary A. King were negligent in the handling of Claimants account, vi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEH£RS In the Matter of the Arbitration Between Name of Robert J. and Barbara J. Mrozak Annen and Helen Markarian Consolidated 89-02920 Stuart James Company, Inc. Richard C. Whelan In a Statement of Halm filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 16, 1989, Claimants Robert J. and Barbara J. Mrozak ("the Mrozaka"), alleged that: Respondents

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lon W. Mericle, Claimant vs. A.S. Goldmen & Company, Inc., Stuart Winkler, Anthony Marchiano and Joseph William Donohue, Respondents. Case Number: 99-02854 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Lon W. Mericle ("Mericle") (hereinafter referred to as "Claimant"), was represented by Christine McNamara, Esquire, of The Law Offices of Patrick Ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Roy S. Carlsen ) Lila D. Carlsen ' ) Claimants ) ) AWARD vs. ) ) NASD # 89-02916 Shearson Lehman Hutton, Inc. ) Respondents ) SUMMARY OP ISSUES Claimants alleged Respondent engaged in a pattern of speculative options and undi.versifi«d common stock margin trading in their account; failed to disclose the risks of such speculative tradin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Alan & Shawn Epstein 89-02915 Name of Regpondenta E.F. Hutton Company/Shearson Lehman Bros In a statement of claim filed with the NASD on or about October 17, 1989, Claimants Alan & Shawn Epstein ("the Epsteins") alleged that their stockbroker, Alan Hartmann began making unauthorized trades in naked options in the Epsteins' securities accoun

Arbitration $ N.A.S.D. AWARD National Association of Securities Dealer*, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS One East Broward Boulevard Suite 1000 In the Matter of the Arbitration Between) Eric L. Adams, Mary L. Adams ) and Maria L. De Angulo. ) ) Case No. 89-02912 Dean Witter Reynolds, Inc. ) Smith Barney Karris Upham & Co., Inc.) Philip R. Anderson. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Weissberg vs. First Flushing Securities, Inc. Claimant AWARD Respondent CASE #89-02909 CASE SUMMARY Claimant alleged that Respondent failed to properly execute orders placed and then failed to cancel orders. Respondent maintained that Claimant placed a market order in XMI put option contracts in a volatile market on October 16, 1989 agai