Arbitration N.A.S.D. AWARD „ , . _ National Association of Sacuritws Dealers, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS ' Three First National Plaza Chicago. IL 60602 (312) 899-4440 In the Matter of the Arbitration Between WLLjrmar Financial Corporation 89-02085 Name of Respondent.^) North American Investment Corporation William Dlerauer Louis Robo CASE In a claim filed with the NASD on or about July 24,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Ehlen Brutger, Paul Ehlen, Mary Ehlen, Steven Ehlen and Frederik Ehlen, Claimants and Pecan Securities, Inc., Merle Levitt and , William Kleckner, , Respondents ( In a claim filed with the NASD on or about July 24, 1989, Catherine Ehlen Brutger, Paul Ehlen, Mary Ehlen, Steven Ehlen and Frederik Ehlen ("Claimants") alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Shizuko Yoka Claimant(s) vs. 89-02081 First Interstate Capital Markets, Kemper Financial Services and Dennis B. Adams Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Shizuko Yoka alleged that Respondent(s) First Interstate Capital Markets, Kemper Financial Services and Dennis B. Adams misrepresented material facts as to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GARY R. and ROBERT J. SNYDER. ) Claimants. ) Case 89-02074 vs. ) Award ) PRUDBNTIAL-BACHE SECURITIES, INC. ) and CRAIG ADAMS, ) Respondents . ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. • Elizabeth L. Clark Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on July 24, 1989. Th

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Richard Zamparelli and John Zamparelli Claimant(s) vs. 89-02068 Brennan Ross Securities, Inc. Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard Zamparelli and John Zamparelli alleged that Respondent(s) Brennan Ross Securities, Inc. mismanaged their account. Respondent denied the allegations and stated the Claimants

Stipulated Award NASD Dispute Resolution, Inc. he Matter of the Arbitration Between Name of Claimant Ulla Searing-duPont f/k/a Ulla R. Searing Case No. 99-02731 Names of Respondents Bear, Stearns & Co., Inc. Bear, Stearns Securities Corp. Stovall/Twenty-First Advisors, Inc. Twenty-First Securities Corp. Robert H. Stovall REPRESENTATION OF PARTIES For Ulla Searing-duPont f/k/a Ulla R. Searing, hereinafter referred to as "Claimant": Wi

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Richards C. Gilbert Claimant vs. Graystone Nash, Inc. Ingrid England Respondents CASE #89-02065 AWARD CASE SUMMARY Claimant alleges his sell order was never executed. Respondent Ingrid England asserts that her co-respondent put all transactions on hold during a dissolution. Respondent Graystone Nash, Inc. contends Claimant never actually placed

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samoil Fink Claimant(s) vs. 89-02064 A.G. Edwards & Sons, inc. and Theodore Giergielewicz Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Samoil Fink alleged that Respondent(s) A.G. Edwards 6 Sons, Inc. and Theodore Giergielewicz committed unauthorized trading in Claimant's account held with Respondent. Respondent(s) den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Flora M. Dinnocenzo' Claimant vs. First Investors Corporation Respondent CASE #89-02059 AWARD CASE SUWARY Claimant, Flora M. Dinnocenzo, alleges that Respondent, First Investors Corporation placed her in unsuitable investment vehicles and committed fraud. Claimant also contends that Respondent failed" to properly advise her or respond to her inq

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Steven Brown Claimant(s) vs. 89-02057 Steven K. Spicer Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Steven Brown alleged that Respondent(s) Steven K. Spicer made misrepresentations. Respondent(s) maintain that he never made price predictions or guarantees on the outcome of the Claimant's securities. All se