NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Lee Brozen } ) . Claimant(s) ) ) and ) CASE NO. 89-00379 ) Norstar Brokerage Corporation ) ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about February 8, 1989, Claimant Lee. Brozen ("Claimant") alleged that Respondent Norstar Brokerage Corporation ("Respondent") breached its fiduciary duty to her by failing to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Irene A. Duffet as Executrix of the Estate of George Wright vs. G.K. Scott & Co., Inc. Theodore P. Allocca, Sr. Claimant Respondents CASE 189-00377 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1989, Claimant alleged Respondent Theodore P. Allocca, Sr. made unauthorized, excessiv

NATIONAL ASSOCIATION OF SECURITIES L'L-ALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Ernest and Edith Prager Claimants vs. Oppenheimer & Co., Inc. Christopher J. Leavy and Respondents Case #89-00375 AWARD CASE SUMMARY Claimants Ernest and Edith Prager ('Claimants") alleged that Respondents Christopher J. Leavy and Oppenheimer & Co., Inc. ("Respondents") improperly liquidated 100 shares of Allegis Corp. and 500 shares o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Robert M. Kirby Claimant vs. Robinson Humphrey Co., Inc., also d/b/a Shearson Lehman Mutton, Inc. Gregory Q. Glenn Respondents AWARD *89-00369 Case Summary Claimant Robert M. Kirby alleged that Respondents made an unauthorized purchase of securities for the Claimant's account resulting in a loss to the Claimant upon sale of the purchased shares.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Barry Paulsell Claimant v. AWARD f89-00356 Merrill Lynch, Pierce Fenner & Smith, Inc. Respondent CASE SUMMARY The Statement of Claim was filed on February 6, 1989. Claimant, Barry Paulsell, alleged that Respondent, Merrill Lynch, Pierce Fenner & Smith Inc. breached its fiduciary duty toward Claimant by giving him inaccurate information concerning market conditions in October of 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter Of The Arbitration Between and Among Dennis T. Caron, Case No. 89-00352 Claimant, vs. Equitable Securities of New York, Inc., Glenn Swope, Bill Pearce, and Steve Kochensparger, Respondents. AWARD Case Summary Claimant Dennis T. Caron ("Claimant*) alleged that Respondents Equitable Securities of New York, Inc. ("Equitable"), Glenn Swope ("Swope*), Bill Pearce ("Pearce"

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia Nolan Claimant(s) ARBITRATION vs. AWARD 89-00349 Amerimutual Corp., Rosemary Grady, and Guineas Capital Funding, Inc. Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Patricia Nolan alleged that Respondent(s) Amerirautual Corp., Rosemary Grady, and Guineas Capital Funding, Inc. owes Claimant for monies on sale of stock. Respondents) d

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) PAINEWEBBER, IMC., ) Claimant. } } Case #89-00346 vs . ) Award ) HURRAY E. GOOLD, ) Respondent. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Alexander Eltman, Esq. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on February 3, 1989. The hearing was conducted in Fort Lauderdale,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02575 Stanley M. Eischen and Elizabeth Eischen, claimants vs. Tim Riche and M. L. Stern & Co., respondents. ATTORNEYS: For Claimants Stanley M. Eischen and Elizabeth Eischen ("Claimants"), Joseph F. Kyle, Esq. of Kyle & Kyle, Las Vegas, NV. For Respondents Timothy B. Riche & M. L. Stern & Co., Inc. ("Respondents"), James D. Portman, Esq., M. L. Stern & Co.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOHN and NANCY DAINUS, ) Claimants, ) ) Case 189-00345 vs. } Award ) BLINDER ROBINSON & CO, INC. and ) STEVE CLAY, ) Respondents. ) ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Roger C. Benson Mr. Ralph Feith CASE SUMMARY This claim was filed with the NASD, Inc. on February 9, 1989. The hearin