N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02586 Everen Securities, Inc., claimant vs. Joseph Boiler, respondent. ATTORNEYS: For Claimant, Everen Securities, Inc., ("Claimant") Nichele Moore, Esq. in-house counsel for Everen Securities, Inc., Chicago, IL, Respondent, Joseph Boiler ("Respondent"), appeared Pro Se,, Wichita, KS. DATE FILED: June 7, 1999 CASE SUMMARY: Claimant alleged that Respondent,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Douglas Ressman ) ) Claimant ) ) and ) CASE NO. 89-00669 ) " Morgan Gladstone and Company, Inc. and ) Gregory Brocks ) ) Respondent(s) ) } /9SO CASE SUMMARY ,. ————^—"^ „ jQ In a claim filed with the NASD on or about May 12, -J.9-35/ Claimant Douglas Ressman ("Claimant") alleged that Respondent' Morgan Gladstone and C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Albert S. Kestnbaum vs. Shearson Lehman Hutton, Inc. Steve Rubin Respondents CASE #89-00668 AWARD CASE SUMMARY Claimant alleges Respondent failed to execute an option trade on October 14, 1989. Respondents contend Claimant had placed a limit order which could never be executed at that price. RELIEF REQUESTED Claimant seeks $200,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas & Iris McWilliams, Claimants 89-00664 Blunt Ellis & Loewi Incorporated, Respondent In a claim filed with the NASD on or about March 6, 1989 Thomas R. McWilliams and Iris B. MiWilliams alleged that Blunt Rllis & Loewi Incorporated ("BEL") through its employee Mark Lefevre made unsuitable investments in their accounts and made material mis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cornelius Young, Norma N. Young and Clara N. Evansen Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-00656 PaineWebber, Inc., John Echlin and Edward Van Name Respondent(s) CASE SUMMARY Claimant(s) Cornelius Young, Norma N. Young and Clara N. Evansen alleged that Respondent(s) PaineWebber, Inc., John Echlin and Edward Van Name failed to carry out a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ANN M. DONALDSON ) ) Claimant ) and ) ) CASE NO. 89-00649 ALEXANDER NAZARENKO AND ) EQUITY SECURITIES TRADING CO., INC. ) ) Respondents } CASE SUMMARY Ann M. Donaldson ("Claimant") alleged that Alexander Nazarenko a registered representative of Equity Securities Trading Co., Inc. (Nazarenko and Equity Securities are collectively

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence Ferrara, Jr. Monica Ferrara Claimants vs. Laid law Adams & Peck, Inc. Richard Roffis Peter Thropp Respondents CASE #89-00647 AWARD CASE SUWARY Claimants assert Respondents misrepresented, misappropriated their funds and made an investment unsuitable for them, namely Putnam High Income Government Trust. Respondent Richard Roffis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clarence L. Thompkins Claimant(s) vs. 89-00646 John Margiotta Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Clarence L. Thompkins alleged that Respondent(s) John Margiotta negligently mishandled Claimant's account held with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Clarence L. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Emma Smith Claimant vs. Gary Curto, Equitable Securities of New York, Inc. Smith Barney Harris Uph*m & Co., Inc. Levco Securities Corp. and David W. Appel, Jr. Respondents Case 189-00644 AWARD CASE SUMMARY Claimant, Emma Smith (hereinafter "Claimant") alleged that Respondents, Gary Curto (hereinafter "Curt;"). Equitable Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPH A. VEROLA, Claimant, vs. SHEARSON LEHMAN MUTTON, INC. and ABRAHAM L. LERNER, Respondents. Case /89-00642 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Harry Polansky Leslie Bishop CASE SUMMARY This claim was filed with the NASD. Inc. on March 1, 1989. The hearing was conducted in Fort Lauder