N.A.S.D. AWftRD NKTICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Azbitraticn Between nf Ttecdora S. Goldberg 90-00426 Name of RespqndiRn.'t(s) Oppenheimer & Co., Inc. Abbott Glaser Claimant alleged that she suffered excessive losses between October 16 and October 19, 1987 that were caused by excessive, unauthorized and negligent options trading engaged in by the Respondents. Claimant further alleged that the Respondents d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John M. Baker Claimant(s) ARBITRATION vs. AWARD 90-00424 Travelers Equities Sales, Inc., Randy Logue and Keystone Investor Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) John M. Baker alleged that Respondent{s) Travelers Equities Sales, Inc., Randy Logue and Keystone Investor failed to disclose the deferred sales charge imposed on an investm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brett Saunders, Claimant v. A,G. Edwards & Sons, Inc,, and PaulNeuner, Respondents Case Number: 01-03269 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California Michael Naccarato, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tetter of the Arbitration Between Name of Robert & Cynthia Webb 90-00419 Name of PaineWebber, Inc. Anthony lascone Heard before: Philip Marshall, Esq. Public Arbitrator Janes G. Parker Public Arbitrator William Richardson Industry Arbitrator Claimants were represented by David C. Fielding, Esq. of Saperston 6 Day, P.C. Respondents were represented by Peter Byer, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Drum Jr. 90-00417 Name qf Rppppndertt(s) Batsman Eichler,Hill Richards, Inc. Charles Southall StMMBRY CSP This case was filed with the National Association of Securities Dealers^ Inc. ("NASD") on May 2, 1990. Claimant John Drum, Jr. , (Drum) claims against Respondent Charles Southall (Southall), while employed with Respondent Bateman,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lillian 0. Lee Claimant * Case f90-00416 vs. Osborne, Stern & Co., Inc. * and Douglas Osborne * Respondent * CASE SUMMARY In an claim filed on February 8, 1990 r Claimant, Lillian O. Lee ("Claimant") alleged that Respondents, Osborne, Stern & Co., Inc. and Douglas Osborne ("Respondents') made material misrepresentations to Claimant in or

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clay E. Thompson, Jr. Clairaant(s) vs. 90-00413 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Clay E. Thompson, Jr. alleged that Respondent(a) Merrill Lynch, Pierce, Fenner & Smith, Inc. redeemed his bond without notifying him of the conversion option. Respondent(s) maintain

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Frances E. Lochner ) ) ) Case No. 90-00412 ) Name Q Robert William Stroup ) Frank Samuelsohn ) Heard before the matters of the Arbitration Panel: Arthur J. Leibell, Esq. Public Sterling F. Tremayne Public Jack C. Aycock Industry Claimant, Frances E. Lochner ("Lochner"), was represented by Thomas R. Grady, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Herbert and Ruth Levitt Claimant v. AWARD #90-00408 Shearson Lehman Hutton, Inc. And Sheldon J. wilshinsky Respondents CASE SUMMARY The Statement of Claim in this matter was filed with the N.A.S.D., Inc. on February 8, 1990. Claimants, Herbert & Ruth Levitt alleged that Respondents,- Shearson Lehman Hutton, Inc. and Sheldon J. Wilshinsky breached their fiduciary duty toward Claimants b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between JEAN SOTO, BETTY PONDER, et al Claimants and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondent REPRESENTATIQN OF PARTIES Claimants were represented by Leigh Lasky, Esq. -of, Biegel and Sandier, Ltd., Chicago, Illinois. Respondent was represented by Donald Littlefield, Esq. of Geary, Stahl & Spencer, Dallas, Texas. CASE SUMMARY