N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allan R. Koretz, individually and d/b/a Rags Investors and as custodian for Robert A. Koretz, Richard J. Koretz and Ronald W. Koretz; Riverside No. 5 Partners; and Riverside No. 10 Partners 89-00069 Merrill Lynch, Pierce, Fenner & Smith, Inc Merrill Lynch Money Markets, Inc. and Merrill Lynch and Co. Claimants were represented by Stuart

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. LaBelle, as Custodian for Lisa Rae LaBelle and Kelly Ann LaBelle Claimant(s) vs. AWARD 89-00065 Dean Witter Reynolds, Inc. and Jonathan Neal Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) James A. LaBelle, as Custodian for Lisa Rae LaBelle and Kelly Ann LaBelle alleged that Respondent(s) Dean Witter Reynolds, Inc. an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Kurt Strassler, Deceased bv Marta Strassler, Administratrix Claimant vs. AWARD *89-00062 Blinder, Robinson & Co., Inc. Respondent Case Summary Claimant alleged that Respondent churned the Claimant's account and invested the Claimant's monies in unsuitable and worthless securities that incurred a loss in Claimant's account. Respondent maintai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DONALD L. CLARK ) Claimant ) and ) ) CASE NO. 89-00061 SUMMIT INVESTMENT CORP. and ) PHILLIP T. HUSS ) Resposdents ) CASE SUMMARY Donald L. Clark ("Claimant") alleged that Summit Investment Corporation ("Respondent Summit") and Phillip Huss ("Respondent Huss") made misrepresentations attendant to the investment in Tri Coast Environmental an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlie Matter of the Arbitration Between Steven A. Eiseman vs. Claimant Bailey Martin & Appel, Inc. Respondent AWARD #89-00052 Case Summary Claimant contends that Respondent misrepresented the price which he would receive in connection with a sale of stock. Respondent contends the order was executed in accordance with instructions and in compliance with the NASD's 5% markdown rules. Rel

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants A. Wayne McLaughlin & Dorothy McLaughlin JTWROS A. Wayne McLaughlin Wayne McLaughlin & Carolyn G. McLaughlin JTWROS A. Wayne McLaughlin SEP IRA Dorothy McLaughlin Wayne McLaughlin, Allen Wayne McLaughlin, II, John Cody McLaughlin & James Carol G. McLaughlin JTWROS Case No. 99-02545 Names of Respondents Axiom Capital Management,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen T. Bajjaly Claimant(s) vs. 89-00047 PaineWebber, Inc. and Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen T. Bajjaly alleged that Respondent(s) PaineWebber, Inc. and Fidelity Investments failed to make timely transfers. Respondent(s) maintain that the transfer process was delayed due to s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patrick and Sandra J. Davis Claimant(s) vs. Nelson Securities, Inc. vs. Emmett A. Larkin Co. and First Trust Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00046 CASE SUMMARY Claimant(s) Patrick and Sandra J. Davis alleged that Respondent(s) Nelson Securities, Inc. failed to execute Claimant's order. Respondent(s) denies Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand E. and Carrol G. Picou Claimant(s) vs. Edward D. Jones & Co. and John D. F>raser Respondent(s) NOTICE OF ARBITRATION AWARD 89-00044 CASE SUMMARY Claimant Armand E. and Carrol G. Picou alleged that Respondent Edward D. Jones & Co. and John D. Fraser recommended ah unsuitable investment. Additionally Armand E. and Carrol G. Picou alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen D. Bloom Claimant(s) vs. 89-00043 Brennan Ross Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stephen D. Bloom alleged that Respondent(s) Brennan Ross Securities made unauthorized transactions. Respondent(s) maintain that their actions were justified and reasonable and that the Claimant was a sophisticated in