NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DAN MOSS Claimant and WAYNE SCHOTT AND PIPER JAFFRAY & HOPWOOD Respondents CASE NO. 89-99903 CASE SUMMARY Dan Moss ("Claimant") alleged as follows: 1. Wayne Schott, a registered representative of Piper, Jaffray and Hopwood, Inc- (Schott and Piper are collectively referred to herein as "Respondents"): a. misrepresented: (1) the risks of the trading

AMENDED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert G. Garrison NASD CASE NO, 98-00579 Names of Respondents First National Equity Corp., f/k/a J.S. Securities, Inc., Glenn Beretsky and Willis White ffl REPRESENTATION Claimant Robert G. Garrison ("Claimant") appeared pro se. For Respondent Glenn Beretsky ("Beretsky"): James A. Prestiano, Esq., New York, New York. Respondents First National

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Ronald F. Searight Claimant vs. Shearson Lehman Hutton, Inc. Respondents Chuck Tom Gary Furukawa Award NASD No. 89-99901 (CBOE No. 88-NM-51) SUMMARY OF ISSUES This case was filed on March 31, 1989. Claimant alleged the following: misrepresentation in the purchase of options contracts. Respondent denied each and every allegation of claimant and

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEAUE3^ In the Matter of the Arbitration Between Name o£ Claaiants 3 i 1991 wyonne M. Long Name of Respondents Ciraig Hallian, Inc. Donald Weiner 89-03604 • Claimant Wyonne M. Long was represented by Paul F. Garvie, Minneapolis, Minnesota. Respondent Craig-Hallum, Inc. was represented by Terrence J. Fleming of liindquist & Venniim, Minneapolis, Minnesota. F^aowDtet Donald R. Vainer appe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In t:he Matter of tihe Arbitration Between Name of CJ^inwnts M. W. Frank Dr. Edward Hollander Carl Schwartznan 89-03603 Name of RPspnnHpnl-c; Wedbush Itorgan Securities, Inc. Levco Securities, Inc. Alfred Gerriets, II For Ciaijnant: M.W. Frank, Dr. Edward Hollander and Carl Schw-iZ'^JTian v*ere represented by Richard A. Kaye and John Bender, Esq. For Respondent: Wedbush Morg

f r NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between/Among * * * * Arthur Levine as the Executor of the Estate • * of Ruth Levine (A.K.A. Ruth Jones) * Case f89-03601 * AWARD Claimant * •k VS . * Shearson Lehman Hutton, Inc. and * Timothy Kinsley * Respondents * This claim was filed on December 27, 1989. Claimant, Arthur Levine, as Executor of the Estate of Ruth Levine, alleges tha

N.A.S.D. AS^ARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of tihe Arbitration Between Name of Claimants Wilmer L. Ayers Case #89-03598 Psnazd Southfr^t Securities, Inc. Hampton Securities, Inc. John M. Dohbs Claiirant, Wilmer L. Ayers, alleged that Respondents, fraudulently sold to Ciaijnant 4,000 Int'l 800 Telecon Corp. Warrants expiring August 3, 1989 at tihe cost of $5,273.54. Vlhereas Cledmant alleged that he thought tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chee Kin Chow Claimant(s) vs . J.F. Lowe & Co., Inc, and Chester Li Respondent(s) NOTICE OF ARBITRATION AWARD 89-03597 CASE SUMMARY Claimant(s) Chee Kin Chow alleged that Respondent(s) J.F. Lowe & Co. , Inc. and Chester Li committed unauthorized trading in Claimant's account. Respondent Chester Li denies Claimant's allegations. Respondent J.

Vioi'3') N.A.S.D. AWARD . NATIOIMi ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betvaen Name of Claimant,/s ^ Fixst Interstate Bank of Oklahoma & Diana Justin Vickery as Trustees 89-03596 Name of Re^^y^^wloni-1 g | Shearson Lehnnan Hutton, Inc. 1 ^ ARBITRAnON-CHICAGO Claimants First Interstate Bank of Okiahora and Diana Justin Vickery were represented by Stuart GolcJberg, Esq. of Danbury, Connecticut. Responde

National AMoclatlon of SecuritiM Oaalan, Inc. NATIONAL ASSOCIATICN OF SECURITIES DEALERS 425 California St.. Rm. 1400 San Francisco, OA 94104 (4151 781-3343 In the Matter of the Arbitration Between 362-9946 Judy Schmidt 89-03595 Shearson Lehman Hutton, Inc. f/k/a Thcinas Short Earl Kindstrcm Hiis case wafi filed with the National Association of Securities [dealers, Inc. ("NASD") on December 27, 1989. Claiinant Judy Schmidt (Schmidt) al