NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Irving Toplin Claimant(s) vs. 88-03640 J.W. Gant & Associates, Inc. and Albert Copperstone Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Irving Toplin alleged that Respondent(s) J.W. Gant & Associates, Inc. and Albert Copperstone used unethical high- pressure sales techniques to induce Claimant to purchase shares. Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) R. STEVEN LUTTERBACH ) Claimant ) and ) ) CASE NO. 88-03634 BEAR STEARNS & CO., INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about November 21, 1988, the Claimant R. Steven Lutterbach ("Claimant") alleged that Respondent Bear Stearns & Co., Inc. ("Respondent") improperly placed restrictions upon Claimant's options tradi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Russell J. Harris Claimant(s) vs. 88-03627 Alan Wallace and Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Russell J. Harris alleged that Respondent(s) Alan Wallace and Blinder, Robinson & Co., Inc. made misrepresentations. Respondent{s) maintain that Claimant's losses, if any, were caused or c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) GEORGE E. MCELROY ) Claimant ) and ) ) CASE NO. 88-03626 THE ILLINOIS COMPANY, INC., ) JOHN A. RAASCH & TERRY WINTERS ) Respondents ) CASE SUMMARY In a claim filed on or about November 21, 1988, Claimant George E. McElroy ("Claimant") alleged that Respondents The Illinois Company, Inc., John A. Raasch and Terry Winters ("hereinafter collectivel

•> ~Z4 J N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 'in the Matter of the Arbitration Between" of (laimant s I National Association of Securities Dealers. Inc. Suite 1680 Three First National Chicago, H 60602 (312) 899-4440 Penelope Merriett, Lillian Huff Clifford and Fern Shriver Najr|j> of Respondent(sI R. Bruce Jahnke and Associates, Inc. and R. Bruce Jahnke 88-03625 In a claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between AJan Kaplan Claimant vs. Shearson Lehman Hutton, Inc. Philip O'Brien Respondent AWARD 188-03624 Case Summary Claimant alleged that Respondents recommended and engaged Claimant in the trading of index options which allegedly were unsuitable for him. Claimant further alleged that when he attempted to close out positions on naked puts in his margin a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DOROTHY F, GILBERT, ) Claimant. ) ) Case J88-03621 vs . ) Award ) DEAN WITTER REYNOLDS, INC.. and ) HERVE LEIGEOIS. ) Respondents. ) Heard before the members of the Arbitration Panel: Nancy C. Wear. Esq. Eduardo J. Palacio. Esq. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on November 11, 1988. The hear

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02534 Ameritrade Inc., claimant vs. Edward Britton , respondent. ATTORNEYS: For Claimant Ameritrade, Inc. ("Claimant"), Eric Hamilton, Regulatory Department of Ameritrade Inc., Bellevue, Nebraska. Respondent Edward Britton ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/02/1999 CASE SUMMARY: Claimant maintained that in October of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) GLYNDA B. ELLIS, ) Claimant, ) ) Case 188-03619 vs. ) Award ) RAYMOND JAMES & ASSOCIATES, INC. and ) BARRETT WOODSMALL, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Thomas Fotopulos, Esq. Mr. James F. Turner III Mr. Arthur De Stefano CASE SUMMARY This claim was filed with the NASD, Inc. on November 21

Arbitration N.A.S.D. PWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name pf Clajmgnc Dolores Baldino vs. Name of National Association ol Securities Dealer*. Inc. NASD Financial Center 33 Whitenall Street New for*. New York 1000" Case * 90-03316 Merrill Lynch Pierce Fenner 6. Smith Inc Gibraltar Securities Co. Anthony P. Marino For Claimant: Robert S. Moraff, Esq. of Schwa