NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. } AWARD The Spokane Police Beneficial Association Claimant ) a Washington Corporation ) ) CASE #88-03013 vs. ) Alan Kominz, an individual, Kominz Respondent ) Company Securities, Inc., Kominz Company ) Government Securities, Inc. and Richardson ) Greenshields Securities, Inc. ) SUMMARY OF ISSUES This case was filed on September 26, 1988. Claimant, The Spokane Police Beneficial Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph T. Sobeck and Lena Sobeck Claimant(s) vs. First interregional Equity Corp. and Richard Eller Respondent(s) AWARD 88-03009 The Arbitrator, Thomas J. Hawekotte, Esq., 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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Radey & Associates, P.A. Claimant vs. Case 188-03007 Balanced Security Programs, Inc. The Benefit Consultants Group Respondents (s ) Case Summary Claimant, Radey & Associates, P. A. alleges that the Res- pondent, Balanced Security Programs, Inc., negligently recom- mended that the Claimant purchase promissory notes Issued by Nashua Trust Company, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Schmidt Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03004 CASE SUMMARY Claimant(s) William J. Schmidt alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. did not give Claimant enough information to make an intelligent choice about an investment. Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Marguerite N. Neid ) Claimant(s) ) Case No. 88-03812 and ) John Bruso and Jsir.es Freeman Respondent(s) CASE SUMMARY Marguerite N. Neid ("Claimant") alleged that John Bruso and James Freeman ("Respondents") recommended to her the purchase of six investments which were unsuitable for her given her investment objectives of preservation of capit

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Glen Kohr and Eunice Kohr, Trustees of the Glen E & Eunice N. Kohr Living Trust and 99-02449 Kansas City, Missouri Name of Respondents American Heartland Investments, Inc. Robert L. Hamman REPRESENTATION OF PARTIES Glen Kohr and Eunice Kohr, Trustees of the Glen E & Eunice N. Kohr Living Trust ("Claimant") was represented by Larry G. Michel, Esq., K

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jason M. & Hilary Schwartz Claimants vs. Case #88-03797 AWARD Profile Investments, Inc. Respondent CASE SUMMARY Claimants alleged that they purchased shares of common stock from Respondent and when later they requested that the stock be sold, discovered the shares had never been purchased for them. Respondent maintained that they never confirmed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Ringwalt Corwin Claimant ) vs. Shearson Lehman Hutton, Inc. Respondent AWARD CASE NO. 88-03792 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 9, 1988. Claimant alleged her account was churned, that unauthorized trades in common stocks were made in her account, and that the trades

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ogden 0. & Susanne Pinkerton Claimant(s) ) AWARD vs. ) CASE NO. 88-03785 Terrance Monroe, Boardwalk Capital Respondent(s) ) Corporation & West lake Securities ) SUWARY OF ISSUES This case was filed on December 15, 1988. Claimants alleged misrepresentation of material facts and lack of suitability with regard to investments in Swift Energy and with regard to p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hancock Techtronics, Inc. Claimant(s) vs 88-03783 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Hancock Techtronics, Inc. alleged that Respondent(s) Merrill Lynch, Fierce, Fenner & Smith, Inc. negligently mishandled Claimant's account held with Respondent. Respondent(s) denies Cl