NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Gustav and Letty J. Gustav Claimant(s) vs. 88-03594 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED FEBRUARY 16, 1990 CASE SUMMARY Claimant(s) Robert Gustav and Letty J. Gustav alleged that Respondent(s) Merril

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Glenn White Claimant ) Award vs. ) CASE NO. 88-03591 Amerimutual Corporation Respondent ) SUWARY OF ISSUES This claim was filed on November 18, 1988. Claimant alleged the following: failure to execute an order to sell securities in Guiness Capital Funding, Inc., as well as misrepresentation with respect to its purchase. Respondent did not file a submissio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sue Allen Claimant vs. Shearson Lehman Hutton, Inc. Gregory Baker Respondents CASE #86-03589 AWARD CASE SUMMARY Claimant Dale Sue Allen (hereinafter "Claimant") alleged that Respondent Gregory Baker (hereinafter "Baker") convinced Claimant to purchase 500 shares of Computerized Buying Network, Inc. (hereinafter "CENT) at 5 3/4 through vario

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy C. Bates Claimant vs. PaineWebber, Inc. Respondent AWARD #88-03584 Case Summary This proceeding was commenced by the Claimant Dorothy C. Bates against the Respondent PaineWebber, Inc. arising from certain transactions in the Claimant's account during the period of 1985 to 1987. Ms. Bates alleged that the Respondent PaineWebber, Inc. through it

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter oftne Arbitration Between Daniel J. and Janet M. Alessio vs. PaineHebber, Inc. Claimants Respondent CASE #88-03582 AWARD CASE SUMMARY Claimants contend that Respondent exercised poor judgment and incompetence in directing their account during the period of June, 1987 through October, 1987, specifically by engaging in unauthorized trading and by excessively concentrating C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Howard J. Adolph Claimant(s) vs. Smith Barney, Harris Upham & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03580 CASE SUMMARY Claimant(s) Howard J. Adolph alleged that Respondent(s) Smith Barney, Harris Upham & Co., Inc. failed to cancel an open order to purchase stock. Respondent(s) maintain that Claimant did not inform Respondent t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Leonard J. Lewis Claimant ) ) AWARD vs. ) CASE NO. 88-03574 Shearson Lehman Mutton, Inc., and ) Ronald J. Smith Respondent(s) ) SUWARY OF ISSUES This claim was filed on November 15, 1988. Claimant alleged: Misrepresentation in the sale and purchase of shares of a publicly traded company, VMX, Inc. (VMX). Specifically, respondents represented VMX as ha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Menachem Margalioth Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Sonja Kohn Respondents AWARD #88-03573 Case Summary Claimant asserts that Respondent Sonja Kohn made misrepresentations concerning the borrowing of money (i.e. margin) to purchase GNMA Bonds owned by an affiliate of Merrill Lynch. Further Claimant contends Sonja Kohn made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CONSOLIDATED FINANCIAL GROUP, INC. ) ) Claimant ) and ) ) CASE NO. 88-03572 P. B. JAMESON COMPANY, INC., RUSSELL ) HADEN, AND WILLIAM PRINCE ) ) Respondents ) CASE SUWARY Consolidated Financial Group, Inc. ("Claimant") alleged that P. B. Jameson Company, Inc., Russell Haden, and William Prince (collectively referred to herein as "Respo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Party Name, Rajnikant R. Shah and Dilroza Shah, Claimants v. Edward Hunton and Everen Securities, Respondents, Case Number: 99-02526 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimants: Jacquelyn Beatty, Esq. KarrTuttle Campbell 1201 Third Avenue Suite 2900 Seattle, WA 98101 For Respondents: Frederick D. Huebner, Esq. Cable, Langenbach, Kinerk