NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Douglas 8. McAdams Claimant vs. Shearson Lehman Hutton, Inc. Theodore C. Tanski Respondents CASE SUMMARY CASE #89-01534 AWARD Claimant, Douglas B. McAdams alleges that he informed Shearson Lehman Hutton, Inc. and Theodore C. Tanski, that his investment objective was a conservative investment geared towards preservation of capital with a view for

NATIONAL ASSOCIATION QF SECURITIES DEALERS. IMC. Joan Wilson Claimant vs. Case #89-01531 Award Robert G. Fietz and American General-Securities, inc. Respondents CASE SUMMARY Claimant, Joan Wilson ("JW"), alleged Respondent, Robert G. Fietz ("RGF") recommended an unsuitable investment in Commercial Management Services ("CMS"), personally guaranteed Claimant's principal, stated there was very little risk in the investment, and averred it w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Samuel Novick Esta Novick Louis Novick Leonard Novick Steven Novick Claimants vs. Robert Ellin Respondent CASE #89-01530 AWARD CASE SUWARY Claimants, Samuel, Esta, Louis, Leonard and Steven Novick, allege that Respondent, Robert Ellin made misleading, erroneous and fraudulent statements to them regarding Echo Mountain Resources, Ltd. (EM

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Andre Claimant(s) vs. 89-01524 Amerimutual Corp. and Richard C. Avon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Albert Andre alleged that Respondent(s) Amerimutual Corp. and Richard C. Avon made misrepresentations. Respondent(8) did not respond. RELIEF REQUESTED Claimant(s) Albert Andre requested damages of O

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tht Arbitration Between GEORGE AND BELLE COOPER. vs. DREXEL BRUNHAM LAMBERT, INC. and RICHARD E. GARCIA, Claimants, ) Case #89-01523 Respondents. Award Heard before the members of the Arbitration Panel: George R. Canty Jr. Eduardo J. Palacio, Esq. John Darling CASE SUMMARY This claim was filed with the NASD, Inc. on Hay 24, 1989. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin A. Craig Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01514 CASE SUMMARY Claimant(s) Kevin A. Craig alleged that Respondent(s) Blinder, Robinson & Co., Inc. through its former registered representative Mario Petri, purchased certain securities for Claimant's account without Claimant's consent and

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02696 Robert F. Marsh and Christine G. Marsh, claimants vs. E*Trade Securities, respondent. ATTORNEYS: Claimants Robert F, Marsh and Christine G. Marsh ("Claimants"), appeared Pro Se., Hilliard, Ohio. For Respondent E*Trade Securities ("Respondent"), Bob Salvador, Compliance Analyst for E*Trade Securities, Palo Alto, California. DATE FILED: 6/14/1999 C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bess Byrne OATH AND . : ~ AWARD OF ' ARBITRATOR 89-01512 Claimant Merrill Lynch, Pierce, Penner & Smith, Inc. and Robert Craig Respondents Having been selected as an 'arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Haresh Kishinchand Ramnani Claimant(s) vs. 89-01511 Ladenburg Thalman & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Haresh Kishinchand Ramnani alleged that: Respondents) Ladenburg Thalman & Co. failed to transmit funds as requested by Claimant on a timely basis. Respondent(s) denied the allegations. RELIEF REQUESTED

N.A.S.D. A NATIONAL ASSOCIATION OF SECURITIES DFAT.RRS Shearson Lehman Hutton, Inc. Claimant, Counterrespondent v. No. 89-01510 William D. Mays Sharon A. Mays Respondents, Counterclaimants REPRESENTATION OF PARTIES For Claimant/Counterrespondent: John W. Shaw, Esq., of Bryan Cave, Kansas City, Missouri, and David V. Clark, Esq., of Lathrop & Norquist, Kansas City, Missouri. For Respondents/Countcrclaimant: Lawrence L. Marcucci, Esq.,