NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin Sloan Claimant(s) vs. Wall Street Discount Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00283 CASE SUMMARY Claimant(s) Martin Sloan alleged that Respondent(s) Wall Street Discount Corp. failed to execute a buy order. Respondent(s) maintain that the stock could not have been purchased at the Claimant's limit. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel T. and Martha Y. Yap Claimant(s) vs. 90-00281 Fidelity Investments Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Daniel T. and Martha Y. Yap alleged that Respondent(s) Fidelity Investments Brokerage Services failed to execute an order in a timely manner. Respondent(s) denies that any act or omissi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter or the Arbitration Between Charles D. Trover Personal Rep. of Est. of ; Gina Lee Trover ; Claimant j i AWARD vs. i ! NASD NO. 90-00280 Shearson Lehman Hutton, Inc. ' ) Resoondent REPRESENTATION Claimant was represented by John R. Barker, Esq. of the firm of Bittner « Barker, ?.C. and respondent was represented by Thomas C. Sand, Esq. of the firm of Miller, Nash, W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Hiram Thomas Hinkley, Jr. Claimant ) vs. ) AWARD Shearson Lehman Hutton, Inc. ) Michael Frager ) Jack Frager Respondents ) CASE NO. 90-00279 SUMMARY OF ISSUES Claimant alleged Respondents misrepresented the nature of, and risks involved in, the investments in common stocks and options made in his account; engaged in unsuitable trading; and breached th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Goldman Claimant(s) vs. 90-00276 Shelter Rock Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Barbara Goldman alleged that Respondent(s) Shelter Rock Securities Corp. failed to execute a trade in a timely manner. Respondent(s) did not defend. RELIEF REQUESTED Claimant(s) Barbara Goldman requested

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julian W. Cole Claimant(s) vs. 88-01009 The Stuart-James Co., Inc., " Dennis R. Schardt and John Sutton Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Julian w. Cole alleged that Respondent(s) The Stuart- James Co., Inc., Dennis R. Schardt and John Sutton executed unauthorized transactions in Claimant's account. Respondent(

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Fred till man, Claimant vs. E.F. Hutton & Co., Inc. Bevin Crodian and Stephen O'Antuono, Respondents Case #88-00826 Award CASE SUMMARY Claimant, Fred Ullroan, alleged that Respondents, Bevin Crodian and Stephen O'Antuono, acting as a partnership within E.F. Hutton & Co., Inc., fraudulently induced the Claimant to open a discretionary account w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ricardo D. Alvarado E. Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. George Taylor Richard Pluta Respondents CASE #88-01005 AWARD CASE SUMMARY Claimant Ricardo D. Alvarado E. alleged Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and George Taylor engaged the Claimant in transactions without first obtaining his authority whic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Bruce Peterson and Raymond John Mertz Respondent vs. John Bogucz Third-Party Respondent Case *88-01004 AWARD CASE SUMMARY Claimant, PaineWebber, Inc. alleged that Respondents, Bruce Paterson and Raymond John Mertz owed to PaineWebber, Inc. an unsecured debit balance in the Respondents' joint account ari

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ; / /\ 7s . / /V 'TfrS'sfrn n - un^-b /< />• ft ^Aa*-A(' h •' Claimants/ ^1 1 LA* f S~> s^fr /V»i-W^»^rt nrr«J /V«b " r™ vs. 'er pea6oci« », LO. ^ UG/ ^uce~ Respondents/ v \ r (jXM'< -f tVCf irr\C»S\ ft SUMMARY OF ISSUES This case was filed on ThfUrJt 2Q./9fff< ( i ) ) ) Award j ) ) NASD * < ??- 0/d()« )