NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy B. and Norman C. Handley Claimants VS. AWARD #89-02332 Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Fitzgerald Respondents Case Summary Claimants alleged that Respondents failed to follow their instructions to transfer 900 shares of Athens Federal stock for cash, and the Claimants consequently suffered a financial loss since Respondents

Arfoitratkm N.A.S.D. AWARD M . National Association of Securities Dealers. Inc. - Suite 168O NATIONAL ASSOCIATION OF SECURITIES DEALERS __ Three First National Plaza / ~~~" . Chicago, IL 60602 • ,:- (312) 899-4440 In the Matter of the Arbitration Between flo.c.Bou i ti., ""^wa •••»—_ »t-. .„_. '»•'•.(• .4:'.;;. j. 89-02324 Merrill Lynch, Pierce Fanner & Smith Inc. Janes Porz CASE SOMWT In a Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patricia Whitman, (Claimant) vs. Brean Murray, Foster, Inc. and John C. Moore, III, (Respondents) Case Number: 99-02801 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Patricia Whitman, hereinafter referred to as "Claimant": James C. Plowden-Wardlaw, Esq., Law Offices of James C. Plowden-Wardlaw, New York, NY Respondent, Brean Murray, Foster, Inc. ("Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kurt G. Kawohl ) Inge Kawohl Claimants ) ) AWARD vs. ) ) NASD NO. 89-02323 Shearson Lehman Mutton, Inc. ) Respondent ) SUMMARY OP ISSUES Claimants alleged Respondent, through its employee financial consultant, placed their funds in common stocks which were unsuitable for their experience and financial status. Claimants further alleged Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chester and Evelyn M. McKay Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-02319 Graystone Nash, Inc. Respondent(s) CASE SUMMARY Claimant(s) Chester and Evelyn M. McKay alleged that Respondent(s) Graystone Nash, Inc. sold Pink Sheet Stock which for Claimants was unsuitable. Respondent(s) denies Claimants' allegations. RELIEF REQUESTED Claimant(s)

CORRECTION AND M3DIFICATION OF N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward Gregory Bauer Jr, et al 89-02318 Mame of Respondent I sj. Dean Witter Reynolds, Inc. Prudential-Bache Securities Inc. Douglas A. Westcoat SUMMftHY OF ISSUES This case was filed with the National Association of Securities Dealers," Inc. ("NASD") on August 17, 1989. Claimants alleged b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between") Mama of Claimant/si ) Reuben Klugman ) ) CASE NO. 89-02303 PaineWabber, Inc. ) Robert N. Gest ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Public Arieh Leo Douer Public Tarrence W. Grant Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) ANNA MARIA LUKASZEWSKI TRUST, ) WITOLD LUKASZEWSKI TRUSTEE ) Claimants ) and ) ) CASE NO. 89-02301 ) CALVERT SECURITIES CORP. AND ) KENNETH J. CRYAN ) Respondents ) CASE SUMMARY In a claim filed with the NASD on August 15, 1989, Claimants Witold J. Lukaszewski and Anna Maria Lukaszewski Co-Trustees of the Anna Maria Lukaszewski Ed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Thomas G. Clark, Jr. Claimant ) AWARD- vs. ) CASE #89-02298 Shearson Lehman Hutton, Inc. ) and James Crawford Respondents ) SUMMARY OF ISSUES This case was filed with the National Association, of Securities Dealers, Inc. ("NASD") on August 15, 1989. Claimant alleged that Respondents failed to communicate with him during the life of his account; that Respo

NASID Arbitration w ® National Association of N.A.S.D. AWARD Securities Dealers, inc. One East Broward Boulevard Suite 1000 NATIONAL ASSOCIATION OF SECURITIES DEALERS (305^5^7391' ***** In the Matter of the Arbitration Between ) ) Name of Claimant(3 \ ) ) Rochelle Alexander ) ) ) Case No. 89-02296 ) Narns of Respondent(s) ) ) Shearson Lehman Hutton, Inc. ) Terrell Bebout ) ) Heard before the members of