NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald A. and Theresa Heise Claimant(s) vs. 89-00425 Rob Scheinman and Ron Bajorik Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gerald A. and Theresa Heise alleged that Respondent(s) Rob Scheinman and Ron Bajorik misrepresented material facts as to Claimants' investment with Respondent. Respondent(s) deny Claimants' allegatio

Vol. Z Mo. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between H< x ™ e '^ vs. Koin^/JLu CtXiaof" ? (- 0 -, cJvit. . it * i Claimant^- ) ) ! ) Respondent^ ) ) ) Award NASD No. SUWARY OF ISSUES This case was filed on "y^y^/r^ iS.jtfQ. CJLfi^niJk /r^y iS. t/ isy*.f U. l- AjifJL nor C nJUJiQ oJ n .. pvc.Ytf fVy-^ *^ <

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack and Mildred Targon, trustee Claimant(s) vs. AWARD 89-00417 L.F. Thompson & Co., Jeff Zack and Bradley D. Zilke Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Jack and Mildred Targon, trustee alleged that Respondent (s) L.F. Thompson & Co., Jeff Zack and Bradley D. Zilke negligently mishandled Claimants' account held with Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Orlan & Jean Wood Claimants ) vs. ) AMENDED AWARD Shearson Lehman Mutton, Inc. Respondent ) CASE NO. 89-00416 SUMMARY OF ISSUES This case was filed on February 13, 1989. Claimants alleged that Respondent violated federal and Washington state securities laws. They alleged that Respondent placed Claimants into unsuitable limited partnership offerings, that Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. and Lorena A. McCarter vs. Graystone Nash and Peter Blanding Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 89-00415 CASE SUMMARY Claimant(s) William J. and Lorena A. McCarter alleged that Respondent(s) Graystone Nash and Peter Blanding made misrepresentations. Respondent Peter Blanding maintains that he was not invol

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02578 Dean Witter Reynolds, Inc., claimant vs. Todd K. Daniels, respondent. ATTORNEYS: For Claimant Dean Witter Reynolds, Inc. ("Claimant"), Diane C. Fischer, Esq., of Gomberg, Kane & Fischer, LTD. Chicago, IL. Respondent Todd K. Daniels ("Respondent"), did not respond to the Claimant's Statement of Claim. DATE FILED: June 4, 1999 CASE SUMMARY: Claiman

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Leatrice Dreiling, Judy Lease and Sara Moriber, as Trustees of The Albert Dreiling Marital Trust Names of Respondents D.H. Blair & Co, Inc. D H Blair Investment Banking Corp. Jeffrey Triana J. Morton Davis Kenton E. Wood Vito Capotorto Case No. 00-01014 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Francisco, Jr. and Sanford M. Cohn Claimant(s) vs. 89-00409 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant John Francisco, Jr. and Sanford M. Cohn alleged that Respondent Merrill Lynch, Fierce, Fenner & Smith, Inc. has not credited the Claimants' account the proper proceeds from

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas and May Gin Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00407 CASE SUMMARY Claimants Thomas and May Gin alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to execute. Respondent maintain that Mr. Steven Richards, the Claimants investment advisor, was re

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank B. Palazzolo Claimant(s) vs. 89-00406 Shearson Lehman Brothers and Joann Linderman Respondent(B) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank B. Palazzolo alleged that Respondent(s) Shearson Lehman Brothers and Joann Linderman mishandled his account. Respondent(a) maintain that they acted in a proper, prudent and profession