NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Shearson Lehman Hutton, Inc. Claimant ) vs. ) AWARD Stanley Schulman Respondent ) CASE NO. 89-01969 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June ll, 1989. Claimant alleged that Respondent opened an account with Claimant and instructed fris Financial Consultant to purchase 100,000 shares of Sp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) DEAN WITTER REYNOLDS, INC., ) Claimant, ) v s- ) Case J89-01968 ) Award CURTIS E. MERROW, ) Respondent. ) Heard before the members of the Arbitration Panels Roger C. Benson, Esq. Joseph A. Weston Jess G. Tucker CASE SWWARY This claim vac filed with the NASD, Inc. on July 11, 1989. The hearing was conducted in Tampa, Florida on April 18

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Niels A. Skov, Niels A. Skov as Claimants ) Trustes for the Thor H. Skov ) Trust, Niels A. Skov as Trustee ) for the Skov Marital Trust, Niels ) AWARD A. Skov as Trustee for the Skov ) Family Trust, and Joan Obennan as ) CASE NO. 89-01967 Trustee for the Joshua Skov Trust ) vs. ) Charles Dean, Randy Dean and Respondents ) Dean Securities )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harry Finch ) Sharon Finch Claimants ) ) AWARD vs. ) ) NASD NO. 89-01966 Merrill Lynch Pierce Fenner & Smith, Inc. ) Robert M. Brenner Respondents ) SUMMARY OP ISSUES Claimants alleged Respondents breached their fiduciary duty to Claimants, made material misrepresentations regarding the risks of margin trading, engaged- in unauthorized trading

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Juanita Ehrke 89-01960 of Resnrvte Joanne Stevens In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 10, 1989, Juanita Ehrke ("Claimant") alleged that Joanne Stevens ("Respondent") solicited her to open an account with Blinder, Robinson & Co., Inc. by telling her that her principal would be safe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. and Lois A. Bernard Claimant(s} vs. 89-01959 John J. Fenwick, Bruce G. Scott, and Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. and Lois A. Bernard alleged that Respondent(s) John J. Fenwick, Bruce G. Scott, and Prudential-Bache Securities, Inc. negligently mishandl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lorraine M. Olson Claimant(s) vs. 89-01955 Dain Bosworth and Everett and Elizabeth Thompson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lorraine M. Olson alleged that Respondent(s) Dain Bosworth and Everett and Elizabeth Thompson misrepresented material facts as to Claimant's investment with Respondents. Respondent (s) d

Arbitration National Aaaodation of Securitto Deafen, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Strew New York. New YorK ICO In t]s totter of the Arbitration Between Roger J; Pasquarella 89-01954 Mams of Respondent [sj Advest, Inc. Raymond Fazzalaro CASE StMOVRY Claimant alleged that Respondents, after Claimant purchased a life insurance policy and placed additional monies with Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Southwest Securities, Inc. Claimant(s) vs. 89-01950 Stephen L. Hodge Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Southwest Securities, Inc. alleged that Respondent(s) Stephen L. Hodge was overpaid on a securities transaction. Respondent(s) has not answered Claimant's allegations. RELIEF REQUESTED Claimant(s) Southwest Se

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Estate of Clele J. Joseph, Judith Ann Joseph Trust and Joanne Milakovic Trust and 99-02723 Indianapolis, Indiana Name' of Respondents Bear Stearns Securities Corp. Dennis Zator REPRESENTATION OF PARTIES Estate of Clele J. Joseph, Judith Ann Joseph Trust and Joanne Milakovic Trust (collectively as "Claimants") were represented by Thomas