Arbitration National Association ol Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between National Securities Network, Inc. Claimant Award vs. Case* 90-00590 First Independent Holding Corporation Respondent CASE SUMMARY Claimant, National Securities Network, Inc. ("Claimant") alleged that Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS f INC. In the Matter of the Arbitration Between ) J.J. Parker ) Claimant ) ) AWARD vs. ) ) NASD #90-00587 Shearson Lehman Hutton, Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 26, 1990. Claimant alleged negligent handling of his account, discontinued service to his account and negligent sup

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arnold Laub Claimant ) vs. ) AWARD Shearson Lehman Hutton, Inc. ) Steven Brom Wilner Respondents ) CASE NO. 90-00584 SUMMARY OF ISSUES Claimant alleged Respondents failed to disclose to him the risks inherent in his purchase of the thinly-traded common stock of Advanced Biotherapy Concepts, Inc., and further failed to inform him of the deteriorating finan

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Claimant J.J.B. Milliard, W.L. Lyons, Inc. Respondent John C. Sabo Case No. 00-04739 REPRESENTATION OF PARTIES Claimant J.J.B. Milliard, W.L Lyons, Inc. ("Milliard Lyons") was represented by Attorney Michael N. Ungar, Esq. of the law firm of Ulmer & Berne, LLP, Cleveland, Ohio. Respondent John C. Sabo ("Respondent") was represented by Attorney Brian A. Ca

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Stuart Elovitz ttaQj^ofRdBGQnctentlfi^ Prudential-Bache Securities Inc. Prudential-Bache Agriculture Inc. 90-oose In A claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about February 27, 1990, Dr. Stuart Elovitz ("Claimant") alleged that Prudential-Bache Securities Inc. and Prudential-Bache Agriculture, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-00578 AWARD In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. Peter J. Sabastiano Respondent CASE SUMMARY Charles Schwab & Co., Inc., in a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1990, alleged that Respondent and customer, Peter J. Sabastiano, has filed to pay a debit balance in his account No. 7986-8

NATIONAL ASSOCIATION OF oECUHJTIJ^ DEALERS, INC. CASE 90-00575 AWARD In the Matter of the Arbitration Between Roland T. Dorl Claimant vs. J, P. Morgan Securities, Inc. Respondent CASE SUMMARY Claimant alleges Respondent was Late in making dividend payments; made errors and mishandled International Depository Receipt transactions. Respondent contends that the threshold jurisdictional requirement is not met in this case as Mr. Dorl did

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard Eskin and Corrine J. Eskin Claimant(s) vs. 90-00571 USAA Investment Management Co. and USAA Transfer Agency Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Leonard Eskin and Corrine J. Eskin alleged that Respondent(s) USAA Investment Management Co. and USAA Transfer Agency Co. failed to follow Claimants' inst

. V T.A.S.D. .AWARD NATICNAL ASSOCIATION OF SSCORITISS DEALERS la the totter or the Arbitration Between Of Hose N. Carter, Trustee of the Rose N. Carter Revocable Living Trust 90-00567 Q£ Stifel Nicolaus & Cozpany, Inc. and Arthur Olson KKMOSatflfTATH H For dainant: Margaret M. MDoney, Esq. of Lashley & Baer, St. Louis, M3. For Respondents: Tlnnas E. Douglas , Esq. ^"rf T=ni«i S. TVmaoorsi, Esq. of Goburn, Croft & Putzell

KATIOKAL ASSOCIATION OF SECURITIES f INC. In the Matter of tie Arbitration Between Frances Fisher, as Conservator for *Case #90-00566 Bernice Kelhofer * Award Claimant * vs. Shearson Lehman Hutton, Inc. * and Ernest Beckwith * CASE SUMMARY Claimant, Frances Fisher, as Conservator for Bernice Kelhofer (Claimant") alleged that Respondents, Shearson Lehman Hutton, Inc, and.' Ernest Beckwith ( "Respondents" churned Claimant's acc