Region.Xr -a NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) STEVEN F, & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON, BENJAMIN T. PO., H.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER and PAINEWEBBER, INC. Claimants CASE NO. 88-03407 88-03414 88-03405 88-03392 ."- 88^03391 88-0~338a. Respondent CASE SUMMARY In claims filed with the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) William K. & Christine C. Veach and Aaron C. Veach 88-03371 Name of Respondentis) Blinder Robinson & Co., Inc. Larry Shedarck Aforigho QQJ £ I9SC CASE SMART In a Statement of Claim filed with the NASD on November 1, 1988, Claimants William K. Veach, Christine C. Veach and Aaron C. Veach alleged that Respondents engag

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gruntal&Co., L.L.C. Case No. 99-02509 ~ Name of Respondent Matthew D. Galvin Hearing Location: Boston, MA REPRESENTATION OF PARTIES Claimant, Gruntal & Co., L.L.C. ("Claimant") was represented by Nancy I. Blueweiss, Counselor at Law, Boston, MA. Respondent, Matthew D. Galvin ("Respondent*") was represented by Grover S. Parnell, Jr., Esq. of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard R. and Beverly A. Van Damme Claimant(s) vs 88-03370 The Stuart James Co. Respondent(s) AWARD The Arbitrator, Leo B. Rotter, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on October 25, 1988 and November 29, 1988,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wagner Family Trust, Caymus Vineyards, Inc. Profit Sharing Plan and Trust and Caymus Vineyards, Inc. Pension Plan and Trust vs. Smith Barney, Harris Upham & Co., Inc. and Richard Grace ) Claimants ) ) vs. Smith Barney, Harris Upham & Co., Inc. and Richard Grace Respondents ) ) In the Matter of the Arbitration Between

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Margot M. Roberts and Debrah C. Herman, Claimants vs. Case #88-03360 Award Smith Barney, Harris Upham & Co., Inc., and Edward L. Diener, Respondents ) ) CASE SUMMARY Claimants allege that the highly leveraged trading in their accounts of U.S. Treasury Bonds was unsuitable, excessive and unauthorized. Claimants further allege that Edw

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Anthony P. Gigliotti Claimant vs. Blinder Robinson & Co., Inc. Respondent vs. Earl Smith Third-Party Respondent Case # 88-03359 AWARD CASE SUTMARY Claimant Anthony P. Gigliotti alleged that Respondent Earl Smith, a former employee of Respondent Blinder Robinson & Co., Inc., coerced him to purchase stock in Entertrac, Inc. through hig

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 1 Karl R. Zimmer Claimant(s) vs. 88-03358 Beuret & Co. Ltd., Frank J. Zangara and John Haese Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Karl R. Zimmer alleged that Respondent Beuret & Co. Ltd., Frank J. Zangara and John Haese failed to execute a sell order. Respondent Haese denied all allegations. All other Respondents did

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Tenny J. Ryan Claimants ) vs. CASE NO. 88-03357 Kennedy, Cabot and Company Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on October 1, 1988 and alleged that Respondent failed to execute three sell orders placed at the market on October 20, 1987 and filaed to advise Claimant in a timely manner a report of nothing done. Specifically,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) PERCIVAL AND SUSAN TION6SON ) Claimant(s) ) Case No. 88-03467 and ) THOMSON MCKINNON SECURITIES, INC. AND GARY DOMKE Respondent (s) ) ) ) ) ) CASE SUMMARY In a claim filed with the NASD on or about November 8, 1988, Claimants Percival and Susan Tiongson, ("Claimants") alleged that Respondents Thomson McKinnon Securities, Inc. (