NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marlin Dillman, Jr. Claimant vs. AWARD #88-03295 Shearson Lehman Brothers, Inc. (n.k.a. Shearson Lehman Mutton, Inc.) Gary Rosenthal Respondents Case Summary Claimant Marlin Dillman, Jr. (hereinafter "Claimant") alleged that his stockbroker Respondent Gary Rosenthal (hereinafter "Rosenthal") made misrepresentation and guarantees to the Claimant wh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between The Reserve Fund Claimant(s) vs. 88-03291 Larry Huddleston Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) The Reserve Fund alleged that Respondent(s) Larry Huddleston failed to repay redemption. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s) The Reserve Fund requested damages of Two Thousand One Hundred Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hal Caughell and Harold Caughell Claimant(s) vs. Power Securities and Ron Bajorek, Manager Respondent(s) NOTICE OF ARBITRATION AWARD 88-03288 CASE SUMMARY Claimant(s) Hal Caughell and Harold Caughell alleged that Respondent ( s ) Power Securities & Ron Bajorek, Manager made misrepresentations, sold unregistered stock and failed to execute

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Howard J. Finn Claimant ) ) vs. ) CASE NO. 88-03284 Pacific Securities, Inc., Respondents ) Robert C. Brown & Co., Inc., ) Philip Smith, ) Robert C- Brown ) SUMMARY OF ISSUES This case was filed on October 24, 1988. Claimant alleged Respondents churned his account, fraudulently invested his funds in unsuitable common stocks, made unauthorized tran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eugene F. Sal ton and Virginia M. Salton, Claimants vs. Case 188-03282 Award Wheat First Securities, Inc., Brantley Parker and Sheldon Rueben, Respondents CASE SUMMARY Claimants allege that Respondents violated Rule 405 of the Securities Exchange Commission and Article III, Section 2 of the Rules of Fair Practice. Claimants further alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Robert W. Weiss, ) Claimant } Case #88-03281 vs. ) Award Fidelity Investments and Pershing & Co., Respondents CASE SUMMARY The Claimant filed the above-captioned claim for arbitration on October 21, 1988. In the claim, he alleged that Fidelity Investments failed to execute his order, Good Till Cancelled, to sell Household International Put options a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02496 Olde Discount Corporation, claimant vs. Kevin F. Smith, M.D., respondent. ATTORNEYS: For claimant Olde Discount Corporation, appeared in-house counsel, Michael P. Knittel, Esq., Detroit, MI. For respondent, Kevin F. Smith, M.D., appeared G. Michael Smith, Esq., of the firm, Dean, Smith & Therrell, P.A., Atlanta, GA. DATE FILED: June 1, 1999 CASE SUMMARY: Claimant alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Taro G. Gehani Claimant vs. J.B. Bee Securities Securities Settlement Corp. Respondents AWARD #88-03280 Case Summary Claimant alleges that J.B. Bee Securities and Securities Settlement Corp. were negligent in the manner by which they call back 'securities sold short by Claimant and the manner by which they covered Claimants position. Relief Reques

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marian T. Parker Claimant(s) vs. Paine Webber, Jackson & Curtis, Inc. and Fray Johns Respondent(s) AWARD 88-3277 The Arbitrator, Gerald Thomas Grady, Jr., having been 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 Octo

NATIONAL ASSOCIATION OF CSGCUR«t£gS aTBUiffRft, INC. In the Matter of Arbitration Between } FRANK J. & VIRGINIA E. SLATTERY ) Claimants ) v. ) NASD NO. 88-03276 JOHN FRANCIS, BROKER & SHEARSON ) LEHMAN CO. ) Respondents ) SIWARY OF THE CASE Frank J. Slattery and Virginia E. Slattery ("Claimants") purchased shares in the Shearson Lehman High Yield Fund on February 12, 1987. Claimants allege that they did not receive a prospectus; that Cla