N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02556 Everen Securities, Inc., claimant vs. Jason G. Smith, respondent. ATTORNEYS: For Claimant, Everen Securities ("Claimant") appeared A. Brad Busscher, in-house counsel for Everen Securities Inc., Chicago, IL. Respondent Jason G. Smith ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED: June 3, 1999 CASE SUMMARY: Claimant alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robbie Eason Claimant(s) vs. Capital First Securities Respondent(s) NOTICE OF ARBITRATION AWARD 89-00200 CASE SUMMARY Claimant Robbie Eason alleged that Respondent Capital First Securities made misrepresentations concerning unregistered stock. Respondent maintains that the Claimant failed to identify and join all parties necessary to complete dete

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Vartges V. Afrikian Claimant(s) vs. 89-00198 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vartges V. Afrikian alleged that Respondent(s) Wall Street Clearing Co. owes Claimant dividend payments for the period of March 15, 1988 through March 31, 1988 and the full month of April. Respondent(s) mai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dayle C. Sayler and Margaret L. Sayler Claimant(s) vs. 89-00197 Robert J. Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dayle C. Sayler and Margaret L. Sayler alleged that Respondent(s) Robert J. Miller committed unauthorized trading in Claimants' account held with Respondent. Respondent(s) denies Claimants' allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Theodore S. Mayer Claimant ) vs. ) AWARD ) Prudential-Bache Securities, Inc. Respondent ) CASE NO. 89-00195 and Laurence Lackaye ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 24, 1989. Claimant alleged that on July 6, 1988 he placed an order with Respondents to buy back his Sun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Claimants si Jamie Townsend Albright 89-00191 NmieQfRgsppndgntfsl William Lozier and Painewebber, Jackson and Curtis CASE SOMMRT In a Statement of Claim filed with the NASD on January 24, 1989, Claimant Jamie Townsend Albright alleged the Respondent engaged in conduct as follows: 1. Entered into a position to exercise control ov

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bo Yadegar and Joyce Yadegar Claimant(s) vs. 89-00190 Tri Bradley Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Bo Yadegar and Joyce Yadegar alleged that Respondent Tri Bradley Investments sold Claimant warrants when he had agreed only to purchase common stock. Respondents did not defend. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab 6 Co., Inc. Claimant(s) vs. Christopher Judson a/k/a Christopher LeMoine and Catherine Juason Respondent(s) NOTICE OP ARBITRATION AWARD 89-00189 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Christopher Judson a/k/a Christopher LeMoine and Catherine Judson have not paid Claimant for debit balance

NATIORAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy Lodge Claimant vs. Oppenheimer & Co. Daniel Dolcini Inc. and Respondents Case "89-00184 AWARD CASE SUMMARY Claimant Dorothy Lodge alleged that Respondents Oppenheimer & Co., Inc. 'and Daniel Dolcini purchased *nd sold securities for the Claimants account that were not suitable for her, engaged in excessive trading, and otherwise

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Victoria Knight Claimant(s) vs. 89-00181 Capital First Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Victoria Knight alleged that Respondent(s) Capital First Securities sold securities that was not registered in Claimant's state. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant (s) Victoria Knight