MAR 1 b RF NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha Pugh Claimant vs. Smith Barney Harris Upham & Co., Inc. Charles Borbone Respondents AWARD #88-03719 Case Summary Claimant submitted the above captioned matter for arbitration on March 17, 1989. In the claim she alleged that Respondents engaged in unauthorized trading of unsuitable securities and excessive trading for the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between ) ) Helen L. Maloney, ) Claimant, } ) Case #88-03718 vs . ) Award ) Shear son Lehman Button, ) Respondent. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Norris L. Friedlander Mr. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on December 2, 1988. The hearing was conducted in Fort

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Les Kaplan Cariye of California, Inc. Less Kaplan, Trustee Claimants vs. Bekhor Securities and Jonathan Bekhor Respondents ORDER OF ARBITRATORS NASD :50. 88-03714 REPRESENTATION Claimants were represented by Frank Lee Crist, Jr., Esq. of the firm Crist & Dusenbery and respondents were represented by Don A. Proudfoot, Jr., Esq. of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Murray L. Lobe! vs. Claimant Herzog Heine Geduld, Inc. Brown and Company Securities Corporation Respondents CASE #88-03710 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1988, Claimant Murray L. Lobel alleged Respondent Brown and Company Securities Corporation as broker and Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RUSSELL S. KOSS, ) Claimant. ) ) Case 188-03709 vs. ) Award ) DEAN WITTER REYNOLDS. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. Henry Sanchez Jr., Esq. Mr. Ralph Feith CASE SUMMARY This claim was filed with the NASD, Inc. on December 1, 1988. The hearing was conducted in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roy S. Moore, Jr., Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case #88-03708 Award CASE SUMMARY Claimant filed the claim on November 30, 1988. In the claim, Claimant alleged that Respondent mishandled his Basic Keogh Account by liquidating 10,904 shares of Dreyfus Fund, Inc. rather than merely transferring his shares fr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elliott and DeAnna K. Kanarek, ) Claimants, ) ) Case J88-03705 vs. ) Award Prudential-Bache Securities Inc. and ) George P. Vescio. ) Respondents. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Meah Dell Rothman Tell. Esq. Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD. Inc. on Dece

RATIONAL ASSOCIATIOH OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ELIZABETH THIBODEAUX, } Claimant. ) ) Case 188-03703 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and ) GEORGE HELM ) Respondents. ) ) Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 1. 1988. The hearing was conducted in Tamp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert W. Liewald and Carol Liewald vs. R.C. Stairan & Co., Inc., J.T. Moran & Co., Inc., and Ann Marie Barone Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03702 CASE SUMMARY Claimant(s) Robert W. Liewald and Carol Liewald alleged that Respondent(s) R.C. Stamm & Co., Inc., J.T. Moran & Co., Inc., and Ann Marie Barone erroneousl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name nf Claimant Everen Securities Case No. 99-02369 Name nf Respondent Russ L. Johnson REPRESENTATION OF PARTIFS Claimant Everen Securities, Inc. ("Everen") was represented by Stephen S. Berkeley, Esq., of Kane & Fischer, Ltd., located in Chicago, Illinois. Respondent Russ L. Johnson ("Johnson") did not appear. TASF. INFORMATTON Statement of Claim filed on