Arbitration Vt JL C T\ ftTj-TH ^tA — i *"' ii *' National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1680 Three First National Plaza Chicago, IL 60602 • (312) 899-4440 In the Matter of the Arbitration Between Name of Claimantss\ James A. and LaVonne Shirley Nelson 88-03324 Name of ResPQndfilTt (B) Smith Barney Harris Upham & Co., Inc. Gary Heller CASE SMART

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eric D. Jacobson Claimant(s) vs. 88-03317 Stoneridge Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric D. Jacobson alleged that Respondent(s) Stoneridge Securities negligently mishandled Claimant's account held with Respondent. Respondent(s) has not answered claim. RELIEF REQUESTED Claimant(s) Eric D. Jacob

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J, Morrison vs. Hostel & Taylor Securities, Inc. Claimant AWARD Respondent CASE #88-03314 CASE SUMMARY Claimant Robert J. Morrison ("Morrison") alleges that an employee, Leonard Osser, of Respondent Mostel & Taylor Securities, Inc. ("Hostel") in his capacity as a representative of Mostel solicited Morrison to purchase share of.Geri-Care,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Arlene Vonnegut Claimant ) vs. ) AWARD First Affiliated Securities, Inc. Respondents ) CASE NO. 88-03313 and William Morgan ) SUMMARY OF ISSUES This case was filed on October 25, 1988. Claimant alleged that Respondents violated the suitability rules by investing her funds in high risk, speculative stocks, trading options, and opening a margin account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Eric and Miyoko Kaufman Claimant ) AWARD CASE #88-03311 vs. PaineWebber, Inc. Respondents and Herbert Wo Her SUWARY OF ISSUES This case was filed on January 25, 1988. Claimants opened an account with Respondents into which they deposited $20,000.00. The funds were used to purchase bonds on margin. Subsequent to the initial deposit, Claimants deposited $245,000.00, which represented the bal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. BSfC« CASE: 99-02497 Olde Discount Corporation, claimant vs. David Chester, respondent. ATTORNEYS; For Claimant Olde Discount Corporation* Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondent David Chester, did not respond to the Statement of Claim, DATE FILED; 06/01/1999 CASE SUMMARY: Claimant alleged that on March 3, 1998, Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arnold Huttner and Marion Huttner, ) Claimants ) Case *88-0?306 vs. ) Award Shearson Lehman Mutton, Inc., ) Respondent ) CASE SUMMARY Claimants allege that they sustained damages as a result of the following breaches committed by Respondent: 1. On October 19, 1987, Respondent failed to promptly execute Claimants' sell orders of 2000 units of OEX Janua

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sam Benson - Trustee vs. Dean Witter Reynolds, Inc. Claimant Respondent AWARD ) CASE #88-03304 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on October 25, 1988. Claimant alleged that his brokers, employed by Respondent, failed to disclose that his investments in two limited partnerships were il

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Umberto & Arnrida DiSabatino Claimants vs. ISFA Corporation d/b/a Invest and Mary Randolph Respondents Case * 88-03302 AWARD CASE SUMMARY Claimants Umberto and Armida DiSabatino alleged that the Respondents entered them into investments that were unsuitable for their needs and made misleading and false statements to the Claimants. Respondents ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Christine Remsen Claimant ) ) ) AWARD ) CASE #88-03298 vs. ) Emillia Kato, Private Ledger Financial Respondents ) Services, Inc. and Associated Planners ) Securities Corporation ) SUMMARY OF ISSUES This case was filed on October 24, 1988. Claimant Christine Remsen alleges that the Respondents Emilia Kato, Private Ledger Financial Services, Inc. and Associated Planners Secur