N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Grand Knitting Mills, Inc. 90-02445 Name of Respondents. Shearson. Ijahman Hutton, Inc. Harold May For Claimant: Harvard Gilbert, Chairman of Grand Knitting Mills, Inc. appeared pro se. * For Respondents: MaryEllen O'DJptscoll, Esq., in-house counsel. Statement of Claim filed: September 04, 1990. Claimant's Submiss

ITPPTI Ct \-O \ 1 C K*A.S.D. AWARD OF ttae Mattqr of the Arbitration Bataaas of aad Jane C. Payne 30-02444 Karoo of Respondents Cfcpenbetaar & Co. f Lac., Batanan Eichler r Hlll RicSardSrlnc., aod Jdhn Boatty, Jt. Claimants/ ^ayygr^ "T** June Pay&s were represented by Roger E. J*€DOfi f Esq. of dome, Soott & Bryant, Cleveland, Tfcop Eeepanden.t, Qcpeaheixost ft Oo», Xaa* WAS represented by John T. MaGuire, Esq

PUBLIC N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name Of Bd Kali Tin sin 90-02442 Name of Respondents Shearson T^frman Brothers, Inc. Edgar Fitzsionons For Claimant: Rachel Kerdman, Esq. of Joelson ^"^ Rochkind. For Respondents: Paul R. Williams, Esq. of gfrirfra^f Williams £ Pavone. case Statement of cna-i™ filed: August 31. 1990. Claimant Ed Kalimian's { "dainant" ) Suta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ellen L. Wells ) Claimant ) ) AWARD vs. ) ) NASD #90-02441 Dean Witter Reynolds, Inc. ) Darryl A. Bolstad ) Respondents ) ____ _) SUMMARY OF ISSUES Claimant alleged misrepresentation, failure to disclose commissions, and investment recommendations which were not suitable for her financial status and investment objectives-with

N.A.S.D. AWARD *~" NATIONAL ASSOCIATION OF SECURITIES DEALERS'/ In the Matter of the Arbitration Between , Merrill Lynch, Pierce, Fenner & Smith Inc. Claimant Paul Van Meter Respondent REPRESEMTATIQH OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. was represented by Jean Frizzell, Esq., of Gibbs and Ratiff r Houston, Texas. Respondent Paul Van Meter appeared pro s_e. CASE SUMMARY In a Statement of Claim filed w

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04857 Apple Valley Development Corporation Name of the Respondent Hearing Site: Tampa, FL Scottsdale Securities, Inc. REPRESENTATION OF PARTIES For Apple Valley Development Corporation, hereinafter referred to as "Claimant": Christopher W. Wickersham, Sr., Esq., Wickersham & Bowers, Daytona Beach, FL. For Scottsdale Securities, Inc. ("Scottsdale"), hereinaf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In -the Matter of the Arbitration Between Alan and Lynda Herring 90-02426 Name nf Wedbush Morgan Securities Inc. In a claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about August 31 f 1990 Alan and Lynda Barring ("Claimants") alleged that Wedbush Morgan Securities, Inc. ("Respondent") failed to notify or inform them of two conversions of Consec

NATIONAL ASSOCIATION OF SECURITIES, INC CASE #90-02417 AWARD In the Matter of the Arbitration Between Donald and Ilene B. Raphael Claimants vs . Stifel, Nicolaus & Co., Inc. Gale Wickell Michael Schlueter Respondents CASE SUMMARY Donald and Ilene B. Raphael, in a claim filed with the National Association of Securities Dealers, Inc. on August 31, 1990, alleged that Respondents are responsible for the terms of an agreement

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: David Feinsilver 90-02415 Name of Respondents Pittock Financial Corporation RAFCO Financial Corp. RAF Financial Corporation Wally Sotter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Morgan W. Bent ley, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Jfetter of the Arbitration Betwaen Name of Claimant Rose Bradley 90-02414 Name of Respondents Janney Montgomery Scott Inc. Douglas Bevers For Claimant: Harris J. Chernov, Esq. For Respondent: Anthony D. Reagoso, Esq. Statement of ClaJin filed: August 31, 1990. Joint Statement of Answer filed: February 5, 1991. Submission Agreements signed: Rose Bradley ("Bradley")