H.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G. Beverly Hilborn 89-00997 Mane of ttemnnrtem- Rotan Mosle Inc. Richard P. Canselmo, Jr. James P. Jackson CASE StflMARY G. Beverly Hilborn ("Claimant") alleged that Richard Cancelao and Janes P. Jackson, registered representatives of Rotan Marie, Inc. (Rotan Masle, Richard Cancelmo, and James P. Jackson are collectively referred to her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JORGE L. GONZALEZ, ) Claimant, ) ) Case #89-00992 vs. ) Award DEAN WITTER REYNOLDS. INC., ) Respondent. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Alexander Eltman, Esq. Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on March 22, 1989. The hearing was conducted in Fort Lauderdale, Flori

HATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Mrs. Henry R. Jacoby Claimant vs. Case #89-00989 AWARD Prudential-Bache Securities, Inc. and Kassover Respondents CASE SUMMARY Claimant Mrs. Henry R. Jacoby alleged that she purchased shares of the Prudential-Bache Government Plus Fund based upon Respondent Bernard Kassover's, an employee of Respondent Prudential-Bache Securities, Inc., reco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants /CountQr;-R6grjQgdentg Kevin & Theresa Cooney 8S-00988 of Marrill Lynch, Pierce, Fenner & anith, Inc. Broadcort Capital Corporation First Affiliated Securities, Inc. J. Patrick Bonn /Counter— Respondent David W. Cooney Name of Respondents /Counter-Claimants MBrrill Lynch, Pierce, Fenner & Smith, Inc. Broadcort

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) JONATHAN B. SMALL, ) Claimant, ) ) Case 189-00996 vs. ) Award ROBERT MERRIFIELD, MICHAEL GARSON ) and RICHARD MARCHESE, ) Respondents. ) Heard before the member of the Arbitration Panel: Alexander Eltman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on March 31, 1989. The hearing was conducted in Fort Lauderdale, Florida on March

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald E. Gauntt Claimant(s) vs. Power Securities Corp. and Robert T. Gilbert Respondent(s) NOTICE OF ARBITRATION AWARD 89-00984 CASE SUMMARY Claimant(a) Gerald E. Gauntt alleged that Respondent(s) Power Securities Corp. and Robert T. Gilbert failed to execute a trade. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Gerald E. G

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William C. Roberts Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-00983 CASE SUMMARY Claimant(s) William C. Roberts alleged that Respondent(s) Blinder, Robinson & Co., Inc. did not liquidate stock in a timely manner. Respondent(s) maintain that Claimant did not request a sale transaction. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand Trepanier, Jr. Claimant(s) vs. Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD 89-00982 CASE SUMMARY Claimant(s) Armand Trepanier, Jr. alleged that Respondent(s) Don Arbital has withheld proceeds from the sale of stock. Respondent maintains that Claimant's expectations of the price the stock commanded were excessive. RELIEF RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Judith Golan Claimant vs. Robb Peck McCooey Clearing Corporation Packard Group Henry Val Respondents CASE #89-00979 AWARD CASE SUMMARY Claimant alleges Respondents wrongfully had funds withheld and withdrawn from her account for tax purposes despite her filing the requisite tax form. Further, the wrongful withholding precipitated an unnecess

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Frazer, III Claimant (s-) vs. PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00978 "~ CASE SUMMARY Claimant(s) William J. Frazer, III alleged that Respondent(s) PaineWebber, Inc. made an error in his account. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) William J. Frazer, III requested damages of Four