NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Evans K. Whiting Claimant(s) vs. 89-03004 Paul Freeman and Dain Bosworth Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Evans K. Whiting alleged that Respondent(s) Paul Freeman and Dain Bosworth failed to execute a trade in a timely manner. Respondent(s) maintain that they have made every effort to resolve this m

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Daniel J. Sweeney/ ) dba Sweeney Lumber Company Claimant ) AWARD vs. ) CASE #89-02553 -Oppenheimer & Co., Inc. ) Jeffrey O'Braskey, and ) Thomas Ortwein Respondents ) SUMMARY OF ISSUES Claimant alleged Respondent O'Braskey failed to follow his instructions to monitor the common stock MiniScribe and to sell his 10,000 shares as soon as possible if the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) NjmeofC^iiigntfsA, ) ) Catherine Brush ) ) ) Case No. 89-02552 ) Name of ttemondentrsl ) ) Southwest Securities, Inc. ) Hampton Securities, Inc. ) Henry M. Bazarte ) Heard before the matters of the Arbitration Panel: Robert Herschnvann, Esq. Public Harry Polansky Public Robert H. Hagan . Industry Claimant/ Cat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Walter D. Latham Claimant(s) vs. 89-02543 Sprung & Wise Securities, Inc. and Ben Coffin Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Walter D. Latham alleged that Respondent(s) Sprung & Wise Securities, Inc. and Ben Coffin purchased stock without his consent. Respondent did not respond. RELIEF REQUESTED Claimant (

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lillian Donohoe Claimant(s) vs. Amerimutual Securities Corp. Respondents) NOTICE OP ARBITRATION AWARD 89-02542 CASE SUMMARY Claimant(s) Lillian Donohoe alleged that Respondent(s) Amerimutual Securities Corp. sold stock to Claimant fraudulently. Respondent (s) maintain that the company in question is a very liable business and very critical in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-02819 MaryAnn Luppino Names of the Respondents Hearing Site: Boca Raton, FL Great American Financial Network, Inc. and William E. Jones REPRESENTATION OF PARTIES For Mary Ann Luppino, hereinafter referred to as "Claimant": Arnold Y. Steinberg, P.C., Pittsburgh, PA. For Respondent William E. Jones ("Jones"): Edward J. Magner, Attorney at

NATIOHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joe F. and Viola M. Pirages Claimant(s) vs. 89-02541 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joe F. and Viola M. Pirages alleged that Respondent(s) Edward 0. Jones & Co. provided misleading information concerning the value of certain securities in Claimants' account. Respondent (s) maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert C. and Elizabeth Swearingen vs. Claimant(s) 89-02540 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert C. and Elizabeth Swearingen alleged that Respondent(s) Shearson Lehman Hutton, Inc. failed t'o execute customer order to transfer securities. Respondent denies Claimant's allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE# 89-02538 AWARD In the Matter of the Arbitration Between Thomas A. Monahan Claimant vs. PaineWebber, Jackson & Curtis, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1989 Claimant Thomas A. Monahan alleged the Respondent PaineWebber, Jackson & Curtis, Inc. failed to timely submit his U-4 application to the r

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. Suits 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Susan B. Licata Name of Respondent ( s ) Summit Investment Corporation 89-02536 CASE SCMftRY In a claim filed on or about September 12th, 1989, Claimant alleges that Respondent Sumni