NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Edward C. Geppi ) Claimant(s) ) vs. ) CASE #88-03443 ) Spear Securities ) AWARD Respondent(s) ) CASE SUMMARY Claimant, Geppi, purchased 2,000 shares of American Technology Corporation stock through Respondent Spear for a total of $1,080.00 on August 10, 1987. On October 10, 1988, Geppi sold said shares t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mark I. Klein C'laitn-mt ) AWARD vs. ) CASE NO, 88-03440 ) Shearson Lehman Hutton, Inc. Respondent ) CASE SUWARY Claimant filed this claim on November 3, 1988, and alleged that Respondent was negligent in delivering untimely and incorrect information to Claimant causing him to suffer a loss in his account. Respondent maintains that it always provided

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David Yeazel, Claimant VS. Case 188-03438 Award Equities International Securities, Respondent CASE SUMMARY Claimant alleges that Respondent failed to execute cancellation or sell orders and improperly sold out his account. RELIEF REQUESTED Claimant seeks an award of $40,000.00. AWARD On June 21, 1989 and August 17, 1989, the undersigned

MAY 2 9 RET NATIONAL A')MJCIAT]',iM Oh' SECURITIES DEALl !•", In the Matter of the Arbitration Between John Brullman Claimant Thomas McKinney Aust.in Securities, Inc. Respondents AWARD #88-03437 Case Summary Claimant John Brullman alleged that Respondents Thomas McKinney and Austin Securities, Inc. overcharged him in commissions from January 18, 1988 through June 13, 1988 in excess of the schedule of commissions posted. R

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunantfs) William R. Bahr Case No. 88-03436 Name of Respondent(s) Shearson Lehman Brothers, Inc. Martin Tamaroff Stephen Friedman REPRESENTATION For Claimant, William R. Bahr ("Bahr"): Richard Levenstein, Esq. of Heimberg, Heimberg, Roder & Levenstein. For Respondents, Shearson Lehman Brothers, Inc. ("Shearson'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. S3SES = = = === = ==== = = = = = = = = = SS5SS»s:s=== = = = = sss In the Matter of the Arbitration Between Fidelity Brokerage Services, Inc. CASE #88-03429 vs. Robert J. Palese Claimant Respondent AWARD CASE SUMMARY On November 3, 1988, Claimant, Fidelity Brokerage Services, Inc., filed this claim and alleged that Respondent, Robert J. Palese, who maintained an account with it had a de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack and Terry Grauer, Claimant, vs. Neil Greenspan and Drexel Burnham Lambert, Inc., Respondent, Case 188-03428 Award Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Ms. Virginia Rhyne Mr. Ralph M. Byer CASE SUMMARY This claim was filed with the NASD, Inc. on November 3, 1988. The hearing was conducted in

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert E. Armstead Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-3424 Fidelity Brokerage Services & Susan E. Hardin Respondent(a) The Arbitrator/ John H.L. Estrange/ Jr., Esq./ selected to review and determine a natter in controversy between the above- mentioned Claimant and Respondents/ set forth in a submission to arbitration signed by the part

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Limansky, M.D. Claimant ) vs. ) Shearson Lehman Hutton, Inc. Respondent ) ) AWARD CASE NO. 88-03423 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 11, 1989. Claimant Raymond Limansky, M.D. alleges that Respondent Shearson Lehman Hutton, Inc. solicited the purchase of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) FRED FRALEY and Claimant(s) THOMSON MCKINNON SECURITIES, INC. AND BROOKS MARTIN Respondents CASE NO. 88-03417 CASE SUMMARY Fred Fraley ("Claimant") alleged that Thomson-McKinnon Securities and its registered representative Brooks Martin (Thomson-McKinnon and Martin are collectively referred to herein as "Respondents"): 1) Misrepresented the ri