NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet R. Conant Claimant(s) vs. Townsley Associates Respondent(s) NOTICE OF ARBITRATION AWARD 89-01040 CASE SUMMARY Claimant(s) Janet R. Conant 'alleged that Respondent(s) Townsley Associates mishandled her account. Respondent(s) denied all allegations. RELIEF REQUESTED Claimant (s) Janet R. Conant requested damages of One Thousand Dollars

N.A.S.D. AHARD ASSOCIAT1CW OP SECURITIES DEALERS In the Matter of the Arbitration Between GERALDINE A. BRIJA & LHC& A. WEAVER, JTHROS Claimant 89-01039 and MERRILL LXNCH, PIERCE, FEWER. & SUPER. INC. & C ERICA. KCMARCK CP Claimants Geraldine A. Brija and T.inrfa A. Weaver appeared DTD se. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and C. Erika Komarck were represented by Peter A. Cantwell, Esq and Paul H. Scheurlein,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carleen A. Myers Claimant ) AWARD vs. ) CASE #89-01037 Christopher Weil & Company, Inc., ) George Forrester and ) Bryan Shobe Respondents ) SUMMARY OF ISSUES Claimant alleged Respondents breached their fiduciary duty to her, defrauded her by investing her funds in unsuitable index options, engaged in unauthorized transactions, and misrepresented to Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gregory M. Monroe Claimant(s) ARBITRATION vs. AWARD 89-01036 Greystone Nash, Inc., Cutwater & Wells, Inc. and Michael Wain. '-•--' Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Gregory M. Monroe alleged that Respondent(s) Greystone Nash, Inc., Outwater & Wells, Inc. and Michael Wain has refused to pay back Claimant's initial investment mone

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) FRANK E. KOEHN AND MARY E. KOEHN ) ) Claimants ) and ) ) CASE NO. 89-01035 GEORGE A. PATRICK, JR. ) ) Respondent ) CASE SUMMARY Frank E. and Mary E. Koehn ("Claimant") alleged that George A. Patrick, Jr. ("Respondent") misrepresented and omitted to state material facts regarding the following: 1) Shannon Energy, 2) American Strategic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Duane M. Thompson and ) O.M. Thompson, Inc. Claimants ) vs. ) CASE NO. 89-01034 ) Smith Barney, Harris Upham ) and Company, Inc. ) Gregory Oufault, and Piper ) Jaffray & Hopwood, Inc. Respondents ) SUWARY OF ISSUES This case was filed with the NASD on April 4, 1989. Claimants alleged that Respondents failed to place stop-loss orders on speci

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Kish Claimant(s) vs. 89-01032 Dean Witter Reynolds, Inc., Burton J. Bloch, Joseph M. Bonanno, and Michael J. O'Brien Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) George F. Kish alleged that Respondent(s) Dean Witter Reynolds, Inc., Burton J. Bloch, Joseph M. Bonanno, and Michael J. O'Brien negligently mishan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfctter of the Arbitration Between Name of Claimant/sJ Marjorie Letz 89-01030 Name of Respondentfa^ Raymond, Janes & Associates, Inc. Robert R, Rice Hear before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. James F. Turner III A. William Cohan, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on April 5, 1989. The hearing was conducted

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: MORGAN KEEGAN & COMPANY, INC. Claimant, v. VERLEY LEE "ROCKY" SEMBRTTZKY Respondent. Case Number: 99-02624 Hearing Site: Houston, Texas Claimant, Morgan Keegan & Company, Inc. ("Morgan Keegan"), hereinafter referred to as "Claimant": Michael K, Henry, Esq,, Morgan Keegan & Company, Inc., Memphis, Tennessee Respondent, Verley Lee "Rocky" Sembritzk

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. . — «• ^ «— •• ^ ^ ^ » «V ^» « IB ^^_ W _B^^M»M^N ^ ^HW^BW1^^ V B B MWW«W*« ^ < » — Hi In the Matter of the Arbitration Between Dr. Henry A. Singer Rosina Simonelli Singer Claimants vs. CASE* 89-01029 AWARD Fahnestock & Co., Inc. Carmine Zottoli Respondents Heard before: Martin Jay Siegel, Esq. Public Arbitrator Cynthia H. Plishtin Public Arbitrator Domen