NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurice H. King, Jr. Claimant(s) vs. 89-00766 F.N. Wolf and Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Maurice H. King, Jr. alleged that Respondent F.N. Wolf and Company misrepresented facts in connection with a purchase of warrants. Respondent denies issuing an opinion or statement about the performance of the stock i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) EDMUND D. & MARGARET J. MESLOH ) MERRILL AND MARK and LYNCH, PIERCE, P. INGRAM Claimants ) ) FENNER & SMITH, ) ) Respondents ) CASE NO. 89-00753 CASE SUMMARY In a claim filed with the NASD on March 6, 1989, Claimants Edmund D. & Margaret J. Mesloh alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Linnea L. Klinger Claimant(s) vs. 39-00743 First Investors Corp. & Gordon Hewes- Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Linnea L. Klinger alleged that Respondents First Investors Corp. and Gordon Hewes assured her that she would not incur any tax liabilities if she transfered her account to First Investors Corporation.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between August E. and Sharon LaScola AWARD vs. #89-00740 Merrill Lynch, Pierce, Fenner & Smith Arthur Zwieg Charles Mordough CASE SIM4ARY Claimants alleged that Respondents falsely misrepresented to the Claimants a Prime FLan Variable life insurance policy that UBS unsuitable for the Claimants and did not conform to their investment objectives of l

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Brett H. Bowen Claimant(s) VB. 89-00736 David Futransky, Mark Graven and First American Capital Resources, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Brett H. Bowen alleged that Respondent(s) David Futransky, Mark Graven and First American Capital Resources, Inc. failed to execute a sell order. Respondent(s) ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ===—============£=======S======================= In the Matter of Arbitration Between Catherine S. Leonard vs. Claimant CASE ^89-00735 AWARD L.F. Rothschild, Unterberg, Towbin, Inc. Albert Pagan Respondents « = = = = = s = = === = *t= = = »a« = a*s at aa = = = = » = = = = = = = = = * = = = = = CASE SUWARY Claimant, Catherine S. Leonard alleges that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne W. Mohr & Lola J. Mohr Claimant(s) vs. Blunt Ellis & Loewi, Steven Mooberry and- Sidney Carlson Respondent(s) NOTICE OF ARBITRATION AWARD 89-00733 CASE SUMMARY Claimant(s) Wayne W. Mohr & Lola J. Mohr alleged that Respondent(s) Blunt Ellis & Loewi, Steven Mooberry and Sidney Carlson failed to provide Prospectives prior to the sale of certain

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Donald Borsos Claimant(s) vs. 89-00730 Shearson American Express Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Donald Borsos alleged that Respondent(s) Shearson American Express misrepresented facts about stocks. Respondent(s) denies each and every allegation. RELIEF REQUESTED Claimant(s) John Donald Borsos reque

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Cynthia Craig Harwood vs. Case No. 99-02593 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Claimant Cynthia Craig Harwood, hereinafter referred to as "Claimant": Peter W. Culley, Esq., Pierce Atwood, Portland, Maine Respondent A.G. Edwards & Sons, Inc., hereinafter referred to as "Respondent": Norman S. Buckvar, Esq., A.G. Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naresh K. & Santosh K. Jain Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00729 CASE SUMMARY Claimant(s) Naresh K. & Santosh K. Jain alleged that Respondent(s) Charles Schwab & Co., Inc. induced them to purchase stock which then declined in value. Respondent(s) maintain that Claimant's purchase was the res