NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fred H. Brady Claimant vs. Diversified Equities Corp. and Arthur Goldstein Respondents AWARD 187 02107 Case Summary Claimant, Fred H. Brady ("Claimant") alleged th*t Respondents, Diversified Equities Corp. and Arthur Goldstein ("Respondents") failed to follow the NASD's "Suitability Rule" in handling Claimant's account. Claimant alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Seth and Mary Sargent Claimant(s) vs. 87-02104 Blinder, Robinson & Co., Inc., Compagnie Equities, Ltd., Glen J. McKie, et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Seth and Mary Sargent alleged that Respondents) Blinder, Robinson & Co., Inc., Compagnie Equities, Ltd., Glen J. McKie, et al did not disclose material i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eugenia & R. Mclntyre Bridges, M.D. 87-02070 Mane of espondent; si Phillips, Appel & Walden, Ire. and Richard Stoyeck / J- ° CT 5fiS0 J '- *•-.«. R. Mclntyre Bridges, M.D. and Eugenia Bridges ("ClaimantsTail«gB54.that Richard Stoyeck, a registered representative of Phillips, Appel & Walden, Inc. (Stoyeck and Phillips

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles W. Fertig Claimant(s) vs. Morton Markley and Bowman Financial Services, Inc. Respondents) AWARD 87-02429 The Arbitrator, Janet Weiss, 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 November 11, 1987 and February

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between7 Dan Montgomery Claimant ) Award ) NASD *87-02407 vs. ) Freeman Welwood * Co., and Respondents Piper, Jaffray & Hopwood, Inc. SUWARY OF ISSUES The claim in this matter was filed December 2, 1987. Claimant alleged that Respondents violated section 65 of the NASD Uniform Practice Code by failing to transfer shares of Copytele from Freeman Welwood to P

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02765 UBS PaineWebber, Inc. Names of the Respondents Hearing Site: New Orleans, LA Joey S. Stone and Dean Witter Reynolds Inc. d/b/a Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": L. Andrew Brehm, Esq., Schuyler, Roche & /wirner, Chicago, IL, and George Freeman, Esq., Stone, Pigman, Walther, W

2 ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) PaineWebber, Inc. Claimant(s) vs. ) CASE NO. 87-02403 ) Gulf American Financial Services, Inc. ) ) Respondent(s) ) _ _ i Heard Before the Members of the Arbitration Panel: John A. Roberts John F. Cockburn Donald C. Douglas SUMMARY OF ISSUES The claim was filed February 26, 1988. Claimant alleged that between Septemb

Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD "Suite 1680 Three First National Plaza Chicago. IL 60602 (312) 899-4440 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Frank Sinacola & Ronald Ashburn / _ / 87-02371 ' / ' »- Name of Respondent^ '' ^ '950 Morrison McReown & Young, Inc. Roy Bengtsson In a claim filed on or about May 1

cA NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Eleanor Curtis Mix, ) Claimant. ) ) Case #87-02346 vs. ) Award ) E.F. Hutton & Co., Inc., ) Respondent. ) CASE SUMMARY This claim was filed with the NASD, Inc. on November 30, 1987. The hearing was conducted in Tampa, Florida, with a total of 3 sessions. Claimant, Eleanor Curtis Hix ("Hix") alleged that Respondent, E.F. Hutton & Co.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick and Sharon Chantler Claimant(s) vs. Dean Witter Reynolds and Jeffrey Turk CASE #87-02343 AWARD Respondent(s) Heard before the Members of the Arbitration Panel: Leonard Greenwold On May 12, 1989 the arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant(s) on September 2, 1