^10512G i N.A.S.D. AWARD NATIOIAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Gladys H. Allison 89-00849 Ijane of Resgcndentfsi PaineWebber, Inc. stiMMARy OF issms This case was filed with the National Association of Securities Deeilers, Inc. ("NASD") on March 20, 1989. Claiinant alleged that Respondent pla'-cd hrr •insuiuible Lrr.'zztzTcr.tz, rpirrdy • -k.^ wr^i-Lants. t^jij .^^

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank P. Prokop, M.D., P.C. Profit Sharing Plan Claimants and Olde Discount Corporation Respondents AWARD 89-00774 CASE SUMMARY Frank P. Prokop, M.D., Trustee of the Frank P. Prokop, M.D., P.C. Profit Sharing Plan and Trust ("Claimant") alleges that Olde Discount Corporation ("Respondent") on October 28, 1988 fai1ed to sell the stock deposited

N.A.S.D. AWRD NATICNAL ASSOCIATICN OF SECURITIES ESai£RS in the Matter of the Arbitration Betwaen Name of Claimantfs^ Robert Paul Lipp Government Securities Dealers Steven R. Shelcbn Joseph T. Blurostein Heard before the Panel of Arbitrators: 89-00751 EdMard S. Boslcw, III CASE SUMMARY Tliis claim was filed witih the NASD, Inc. on March 6, 1989. Itie heiiring was conducted in Fort Lauderdale, Florida, on August 27 and August 28, 1990,

c 1 Region S £ A Volume 3 ^ Number Year ?p NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles Sten (Deceased) Claimants and Vivian Sten, JTWROS vs. Dean Securities and Respondents Charles Dean CASE NO. 89-00707 SU>WARY OF ISSUES This case was filed with the NASD on March 13, 1989. Claimants alleged that during the period of March 1983 through December 1988 Respondents recoimnen

AWARD NASD Regulation, Inc. CASE: 98-00574 Robert F. Perry and Jeannine A. Perry, claimants vs. American Express Financial Advisors, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se - Palm Coast, FL. For Respondent appeared Gary R. Irwin, Esq. - Minneapolis, MN. DATE FILED: February 13, 1998 CASE SUMMARY: Claimants alleged that, after liquidation of their account, respondent transferred incorrect amount to new brokerage firm. Claim Dat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bets^en Gary Smith, Gloria Smith, Kristen Chamberlain and Gary " ^ward Smith as Custodian Case ^ vs. 89'*JOf^50 Hams of Respondent Charles H. Howard III CASE SUMNfARY This claim was filed on March 2, 1989. Claimants, Goey orid Gloria Smith, Kristen Chamberlain and Gary Smith, as Custodian, alJege fhat Respondent, Charles H. Howard, III, a registered

NA'r.':CNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the TUrbitration Between Jerry Rodinsky Claimant(s) vs . Graystone Nash, Inc. and Douglas R. Coill Respondent(s) NOTICE OF ARBITRATION AWARD 89-00651 CASE SUMMARY Claimant(s) Jerry Rodinsky alleged that Respondent(s) Graystone Nash, Inc. and Douglas R. Coill misrepresented material facts as to Claimant's investment with Respondent. Respondent(s) deny Claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rl^atmantfAI Calvij\ K. Mees 89-00648 ^^am6 of Graystone Nash, Inc. Thdias V. Arfeerly Joe Gentile Richard Adane Dennis Williams CASE SUMMARY Calvin K. Mees {"CleUmant") allecpd Graystone Nash, Inc., Ttaras V. Ackerly, Joe Gentile, Richard Pdmm, and Damis Williams (collectively referred to herein as "Respondenta") owed the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. y'^< ^-'/.Z/ In the Matter of the Arbitration Between HERMAN and ALBERTA SOLOMON, vs. JOSEPHTHAL & CO., INC. , Claimants, Respondent, Case #89-00614 Award Heard before the members of the Arbitration Paneli Marilyn B. Cane, Esq. Harold Alenick Joseph M, Luby CASE SUMMARY The claim was filed with the NASD, Inc. on February 27, 1989. The hearing was conducted in Fort Lauderdale, Flo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) James E. Butterfield Claimant ) ) vs. ) AWARD ) PaineWebber, Inc. and Respondents ) CASE NO. 89-00609 Jackson Palmour ) Heard Before the Members of the Arbitration Panel: SUMMARY OF ISSUES This case was filed on February 27, 1989. Claimant alleged that Respondents made unauthorized transactions and that certain positions taken by Respond