NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Natter of the Arbitration Between Patricia A. and James H. Hall Claimants vs. Shearson Lehman Mutton, Inc., Respondent Case 188-03675 Award CASE SUMMARY Claimants allege that they informed Dean Blissman, a financial consultant with Shearson Lehman Mutton, Inc., that their investment objective was to ensure safety of principal and to receive monthly income in order to make mortga

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Vonk Claimant(s) vs. StockCross, Inc. Respondent(s} NOTICE OF ARBITRATION AWARD 88-03674 CASE SUMMARY Claimant(s) William J. Vonk alleged that Respondent(s) StockCross, Inc. breached the fiduciary duties owed by a broker to its customers, in particular, failure to exercise the necessary duty of care. Respondent(s) maintain that Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Philip F. Ellian & Jeanette N. Ellian Claimants vs. Kuhns Brothers & Laidlaw, Inc. Respondent Case #88-03672 AWARD CASE SUMMARY Claimants, Philip F. Ellian & Jeanette N. Ellian alleged that Respondent, Kuhns Brothers & Laidlaw, Inc. executed unauthorized options trades In their account and churned the account, also. Respondent did not file a Sta

NASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant:j^gj. Richard Horian 88-03671 Name of Respondent?s) Merrill Lynch, Pierce, Fenner & Smith Arnold Alson Arbitration National Association oi Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, New Yorfc 1000- For Claimant: Laurence Schultz, Esq. of Driggers, Schultz, Herbst & Pate

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eleanor Kochan Claimant(s) vs. 88-03670 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Eleanor Kochan alleged that Respondent Prudential-Bache Securities, Inc. misrepresented material facts to Claimant with respect to Claimant' s investment with Respondent. Respondent denies Claimant's allegat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAU2RS In the Matter of the Arbitration Between 1 a 1 ' Tnart 3 Gail, Mary and Edward J. MzElroy 88-03728 Name of Joseph P. McGivney and Associates, Inc. Steohen M. Poran CASE StMMRRY -CHICAGO ! I In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on December 5, 1988, Claimants Gail McElroy, Mary McElroy and Edward McElroy all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Mane of Claimant Donna R. Kelsey 88-03727 Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch Money Markets, Inc. Merrill Lynch and CO. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about December 12, 1988, Donna R. Kelsey ("Claimant") alleged that Henri B. Moreault ("Moreault") an account executive em

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of_£laiigant ( s \ George B. Fisher et al. 88-03726 Name of Respondent I s ] Merrill Lynch, Pierce, Fenner & Smith J3VOIHO - NC -' Merrill Lynch Money Markets, Inc. Merrill Lynch and Conpany ^ 06619 MJN CASE SUMMARY George B. Fisher, IV ("Fisher"), the Estate of Ellen R. Fisher, and Omnisports, a partnership d/b/a the Snug Conpa

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Daryoush Javaheri, Claimant v. Morgan Stanley Dean Witter and Artemis Riazi, Respondents. Case Number: 99-02371 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: George M. Gavalas, Esq. Law Offices of George Gavalas Mineola, New York For Respondents: Wendy R. Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATIO

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Cooperman Claimant(s) vs. Kennedy, Cabot & Co., Inc. Respondent(s) AWARD 88-03723 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and RespondenLs, set forth in a submission to arbitration signed by the parties on June 27, 1987 and February 1, 1989, respectively; And, tha