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CASE J90-01921 AWARD In the Matter of the Arbitration Between Deborah -Du-fresne — - Claimant vs. Mark Allbaugh Respondent CASE SUMMARY Deborah Dufresne, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Mark Allbaugh made an unauthorized purchase of EMS stock with the entire proceeds from the sale of her Scoreboard stock. Respondent, Mark Allbaugh, maintained that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henry C. and Monique Gross vs. Claimants Shearson Lehman Hutton f Inc. Jeffrey Gerson Respondents CASEt 90-01920 Heard before: Joseph A. Schubin r Esq. Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990 the Claimants Henry C. and Monique Gross alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90-02 AWARIT In the Matter of the Arbitration Between David W. & Julie M. Wilson Claimants vs. Stuart-James Co. Respondent CASE SUMMARY Pro Se Claimants, David W. & Julie M. Wilson, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Stuart-James Company f Inc. misrepresented the sale price set for an initial

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela Lytel and Bret Lytel, (Claimants) v. Morgan Stanley DW, Inc. and Lisa Byron, (Respondents) Case Number: 00-04806 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Pamela Lytel and Bret Lytel ("Lytel"), hereinafter collectively referred to as "Claimants": Paul J. Sussman with law offices located in Chicago, Illinois. Respondent Morgan Stanley DW,

Arbitration N*AiGtDi AWARD National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS SSmte^&ree"*™ New York, New York 10004 In the Matter of the Arbitration Between of Claimant Wallace Dahlke Case # vs 90-01915 Name of Respondents Jforshall Davis, Inc. Kirk M. Johnson Heard before: Name , _ Floyd C. Hale Public This claim was initiated by a Statement of Claim filed with the National

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-01914 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Louis Lisi Manola Lisi Respondents CASE SUMMARY PaineWebber, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondents and former customers, Louis and Manola Lisi have failed to refund to Claimants a check erroneously deposite

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 190-01913 AWARD In the Matter of the Arbitration Between Helen B. Tonus Claimant vs . \ Earle J. Beckley Respondent CASE SUMMARY Pro Se Claimant, Helen B. Tonus, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Earle J. Beckley churned her account and charged an excessive fee to close out her MFS Lifetime G

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Olga A. Coleman Claimant Case #90-01911 vs . Prudential-Bache Securities, Inc. and Randy W. Brandt Respondent AWARD CASE SUMMARY Olga A. Coleman, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that her account executive, Randy W. Brandt, while employed at Prudential- Bache Securities,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01894 AWARD In the Matter of the Arbitration Between Richard and Donna Williams Claimant(s) vs. Kenneth Schave Respondent(s) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1990 Claimants Richard and Donna Williams, who appeared Pro Se, alleged that Respondent Kenneth Schave, while employed by Hamilton Bohner Inc., sold 72,000