NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) ) CASE NO. 89-00727 ) In the Matter of the Arbitration Between Roy J. Ourbin Claimant(s) and Shearson Lehman Mutton, Inc. and John Williams Respondent(s) CASE SUMMARY 1. John Williams ("Williams"), a registered representative of Shearson Lehman Mutton, Inc. (Williams and Shearson are collectively referred to herein as "Respondents") engaged in the following: a. Made material

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tom J. & Brigitte A. Harper Claimants ) vs. ) AWARD Wedbush Securities, Inc. Respondent ) CASE NO. 89-00725 SUMMARY OF ISSUES This case was filed on March 13, 1989. Claimants alleged the following: unauthorized sale of five index options. Respondent denied the claims and alleged negligence on the part of claimants in failing to monitor the statements and advise

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: DOROTHY BATOR SIEGEL, Claimant, v. NASD NO. 89-00724 THOMPSON MCKINNON SECURITIES, INC., SCOTT E. SHAW, FAITH DIPPOLD and JAMES L. SCOVIC, Rerpondents. / CASE SUMMARY Claimant, Dorothy Bator Siegel, alleges that Respondents, Thompson McKinnon Securities, Inc., Scott E. Shaw, James L. Scovic and Faith Dippold, violated the NASD Rules of Fair

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant?si Lloyd A. Sauer Arbitration National Association of Sacuritias Daatars, Inc. Suite 1660 Threa First National Pla; Chicago. IL 60602 (312) 899-4440 89-00723 SEP PaineWebber, inc. 3/990 CASE SMART , In a Statement of Claim filed with the NASD on March 13th, 1989, Claimant Lloyd A. Sauer alleges that

N.A.S.D. AWARD Nation*! Association el Securities Dealer*, Inc. NASD Financial Center NATICNAL ASSOCIATION OF SECURITIES DEALERS Ne^!Sk*N«w v£k in the Matter of the Arbitration Between Name of Claimant Richard Severance 89-00719 Name of Regpgnder^ts Corna and Co., Inc. Brad Solomon Heard before: Robert C.Devlin Public Arbitrator Bert C. Linder Public Arbitrator Robert A. Greenberg Industry Arbitrator Appearance of Representat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ross and Mabel Rogers Claimants ) ) vs. ) AWARD ) Drexel Burnham Lambert, Inc., Respondents ) CASE NO. 89-00717 Jerry Gettinger and George ) Arterberry ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 15, 1989. Claimants alleged unsuitability and churning with respect to trans

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ; Harry & Eleanor Gonick Claimants ) ) vs. ) AWARD ) Orexel Burnham Lambert, Inc. Respondent ) CASE NO. 89-00716 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 13, 1989. Claimants alleged negligence, breach of fiduciary duty, misrepresentation, and fraud in connection with Claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Emilie H. Welch Claimant ) ) NASD No. 89-00713 vs. ) PaineWebber, Inc. Respondents Halter Keating SUMMARY OF ISSUES This claim was filed on March 13, 1989. Claimants alleged the following: lack of suitability, unauthorized trading and failure to supervise her portfolio of securities. Respondents de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Peter Victor Claimant vs. Case #89-00708 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Caroline Kelly Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1989 Claimant Peter victor alleged the Respondents recommended investments which were unsuitable to his investment needs and objec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carol Snyder Halberstadt (Claimant) vs. ETrade Securities, Inc. (Respondent) Case Number: 99-02591 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Carol Snyder HaJberstadt, hereinafter referred to as "Claimant": Robert D. Hillman, Esq., Deutsch Williams Brooks DeRensis Holland & Drachman, P.C, Boston, MA. Respondent, E*Trade Securities, Inc., hereinafte