NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis Rustigian Claimant vs. AWARD CASE NO. 88-03129 Shearson, Lehman, Mutton, Inc. Respondent SUWARY OF ISSUES This case was filed on Nov. 2, 1988. Claimant alleges that Respondent sold out his holdings in Tiger International stock due to a margin call. Claimant states that he would have covered the margin call if he had been aware of it. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sidney I. and Frances Rovak Claimants vs. William A. Slone Respondent Case 188-03128 AWARD CASE SUMMARY Claimants alleged that Respondent churned their . retirement account to generate excessive commissions and fraudulently misrepresented to the Claimants the type of securities that he was trading in their account. The Respondent denied the alle

NASD Dispute Resolution, Inc. Arbitration No. 99-02476 Award Page 1 Award NASD Dispute Resolution, Inc. . JAN 2 1 2001 In the Matter of the Arbitration Between Name of Claimant Michael Edlin Name of Respondents Paine Webber, Inc. James Quicksilver Case No. 99-02476 REPRESENTATION OF PARTIES Claimant Michael Edlin (Edlin) was represented by Thomas P. Rosenfeld, Esq., of Stone Leyton & Gershman, located in St. Louis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vito D. and Marie J. Spillone Claimant(s) vs. Leny Tucker of F.D. Roberts Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03122 CASE SUMMARY Claimant(s) Vito D. and Marie J. Spillone alleged that Respondents) Leny Tucker of F.D. Roberts Securities, Inc. negligently mishandled Claimants' account held with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) CHARLOTTE PAPAOAKIS ) Claimant ) NASD NO. 88-03121 v. ) SANDHURST SECURITIES, LTD. ) and IRVING SIMON Respondents CASE SUMMARY Charlotte Papadakis ("Claimant") alleges that Irving Simon ("Respondent"), an account representative employed by Sandhurst Securities, Ltd., made unauthorized trades and unauthorized purchases on margin, made unsuitable se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary Bianco Claimant(s) vs. 88-03117 John Hancock Insurance Co., Armand Fiordelise, and John Hancock Distributors, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claim by investor whose check was lost in mail or otherwise, against insurance company investment house for lost income when investment was not consummated. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. and Roberta S. Primeau Claimant(s) vs. 88-03116 Dillon Securities, Inc. and Mary Pritzl Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Edward J. & Roberta S. Primeau alleged that Respondent Dillon Securities, Inc. and Mary Pritzl misrepresented material facts concerning Claimant's investment with Respondent. Responde

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Hyman D. and Esther Burstein ClaiTnant(a) vs. 88-03115 Gliksman Securities Corp. & Harry Gliksman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Hyman D. and Esther Burstein alleged that Respondent Gliksman Securities Corp. & Harry Gliksman manipulated and mismanaged their account. Respondents maintained that all orders to buy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Antonio J. Castro Claimant(s) vs. 88-03108 Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD This Notice supersedes the Notice of Arbitration award dated June 29, 1989. CASE SUMMARY Claimant Antonio J. Castro alleged that Respondent Charles Schwab & Co., Inc. sold Claimant's shares at prices below the requested stop-limi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the" Matter of the Arbitration Between Arnold G. Henrichsen Trust, Helen H. Vfells, Trustee 88-03101 of E.F. Button & Company, Inc. Heard before: Name Public/Industry George H. Speciale, Esq._ PUBLIC B. N. Meldrum PUBLIC Lyle Davis INDUSTRY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Octob