NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Paula Rose Claimant(s) vs. 89-02651 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel and Paula Rose alleged that Respondent(s) PaineWebber, Inc. made an unauthorized liquidation of a front end mutual fund. Respondent maintains that this claim is nothing more than an attempt to force PaineWe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John A. MzMullen 89-02650 Fldelity Brokerage Services, inc. Claimant option holder alleged that Respondent discount broker failed to disclose the precise terms regarding a tender offer by KKR for RJR Nabisco shareholders. Respondent maintained that Claimant was an experienced options investor who knew the terms and risks of trading options

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles Kairaitis Claimant CASE #89-02646 AWARD vs. Prudential-8ache Securities, Inc. Respondent CASE SUMMARY This claim was initially commenced on September 22, 1989. Claimant, Charles Kairaitis alleged that Respondent, Prudential-Bache Securities, Inc. did not take the time to ascertain neither his personal or his financial background when he

Award NASD Reaulation. Inc. In the Matter of the Arbitration Between: Margene W. Lyon. Claimant vs. Morgan Keegan & Company, Inc., and David E. McDonald, Respondents. Case Number: 99-02834 Hearing Site: Nashville, Tennessee All Claims disposed of after a Telephonic Hearing. REPRESENTATION OF PARTIES Claimant, Margene W. Lyon, hereinafter referred to as "Claimant", was represented by Michael A. S. Guth, Esq., of Oak Ridge, Tennessee. Respondents,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: NEIL T. MOSKOWITZ, M.D. CLAIMANT V. INDIVIDUAL'S SECURITIES, LTD. GEORGE K. DODMANIS DOKCNICK INVESTOR SERVICES ROBERT LEDONB MICHAEL PERDIE RESPONDENTS THIRD-PARTY RESPONDENTS AWARD /89-02643 CASE SUMMARY The Statement of claim was filed with the NASD, Inc. on September 21, 1989. Claimant, Dr. Neil T. Moskowitz alleged that

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Laurel Misrs 89-02640 Name f Ruth Securities Joan R. Thonasson In a claim filed with the National Association of Securities^Dealers, Inc. ("NRSD") on or about September 21, 1989, Laurel Miers ("Claimant*} alleged that Joan R. Thonasson ("Thonasson") of Ruth Securities ("Ruth") (collectively aa "Respondents") failed to discl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Shepherd and Corinne Nathan ) ) Case No. 89-02639 ComWest Securities, Inc. ) Ellen Margaretten ) Herzog, Heine, Geduld, Inc. ) Michael A. Solomon ) Heard before the Arbitrator: Robert Herschmann, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on February 5, 1990. The hearing was conducted in Fort Lauderdale, Florida on Oct

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Gordon Claimant(s) vs. 89-02637 Wellshire Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert Gordon alleged that Respondent(s) Wellshire Securities, Inc. failed to properly execute Claimant's sell orders and mismanaged the account. Respondent(s) denied the allegations. RELIEF REQUESTED Claiman

N.A.S.D. AWARD NKTKMRL ASSOdflTICN OF SECURITIES CEAIZRS In the Hatter of the Arbitration Between Anatoly Aimer 89-02636 Stuart Janes Company/ Inc. Daniel Pom Claimant *ll«*y** that tespondents misrepresented securities to him that were highly speculative and executed unauthorized transactions which created losses in his account, nusfeundonts nvilnrninRrt that Claimant specifically requested to speculate in over-the-counter securities, that no

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN William D. Kerner Claimant vs. Prudential-Bache Securities, Inc. Evan Bines Respondents Case #89-02632 AWARD CASE SUMMARY Claimant William D. Kerner alleged that Respondent Evan Bines, an employee of Respondent Prudential-Bache Securities, Inc., made various false representations and failed to disclose material facts in his recommendation to