NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the natter of the Arbitration Between ) ) ) BRYCE AND MURL ROBY ) ) Claimant(s) ) Case No. 89-00599 and ) ) GARY ROSENTHAL AND SHEARSON ) LEHMAN BROTHERS, INC. ) ) Respondent(s) ) CASE SUMMARY In a statement of claim filed with the NASD on March 2, 1989, Claimants Bryce and Murl Roby ("Roby") allege that Respondents Gary Rosenthal ("Rosenthal") and Shearson Lehman Brothers

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ]n the Matter of the Arbitration Between Edward L. Nordeen Carol A. Nordeen Claimants vs. PaineWebber, Inc. Respondent CASE #89-00597 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 22, 1989 Claimants Edward L. and Carol A. Nordeen alleged they were unsophisticated and the Respondent PaineWebber, Inc. through its agent misrepresen

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Gloria Dugger Claiinant (s) vs . Graystone Nash, Inc. vs. NOTICE OF ARBITRATION AWARD 89-00594 R.B. Marich, Inc. and Peter Blanding Respondent(s) CASE SUMMARY Claiinant (s) James and Gloria Dugger alleged that Respondent ( E; ) Graystone Nash, Inc. vs. R.B. Marich, Inc. and Peter Blanding misrepresentee material facts as to Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Michael L. and Kathryn R. Mines, Claimants vs. A.G. Edwards & Sons, Inc., Respondent Case #89-00589 Award CASE SUMMARY Claimants, Michael L. and Kathryn R. Hines, alleged that Respondem:, A.G. Edwards & Sons, Inc., liquidated portions of their portfolio despii:e satisfaction of all margin calls and used the proceeds for Respondent's benefit. Respo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00573 Christopher and Dana Belle, claimants vs. Thomas Cocuzza, State Capital Markets Coip., and Schroder Wertheim & Company, respondents. ATTORNEYS: Claimants appeared Pro Se, Middletown, NJ. Respondents Thomas Cocuzza and State Street Capital Markets Corp. did not respond to the Statement of Claim. For Respondent Schroder Wertheim & Co. appeared its Vice

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Tupan Claimant vs . Prudential-Bache Securities, Inc. and Jeffrey Oeane Respondents AWARD i 89-00585 Case Summary Claimant, Albert Zupan (the "Claimant") alleged that Respondents, Prudential -Bache Securities. Inc. ("Prudential-Bache") and Jeffrey Deane ("Deane') mishandled Claimant's account. Claimant alleged that Oeane maae unsuitable re

I I NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. CASE #89-00681 AWARD In the Matter of the Arbitration Between Larken Associates C1aimant vs. PaineWebber, Inc. David Honduia Respondents CASE SUMMARY Claiinant Larken Associates alleges that Respondents PaineWebber, Inc. and David Honduia did not properly advise Claiinant as to the different types of GNMA bonds available. Claimant alleges that the information they provided to the

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATIOH AHARD 89-00567 In the Matter of the Arbitration Between Andrew Jackson Washington Claimant(s) vs. Greystone Nash, Cutwater & Wells, Inc. and Derek King Respondent(s) CASE SUMMARY Claimant(s) Andrew Jackson Washington alleged that Respondent(s) Greystone Nash, Outwater & Wells, Inc. and Derek Kiii,g misrepresented material facts as to Claimant's investment witii Re

N.A.S.D. AW?^ I'lATIOJAL ASSOCIATION OF SECURITIES DEAIERS In the IVfefcr of the Arbitration Between liaine of Clajjientfs) Stuart T. Stanuell, 111, as Trustee for Jane Konken Stanv^il Tiust 89-00566 Name of Respondentfs1 PaineWebber, Inc. Anne Davidson CaSE StlMAHY In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on February 21, 1989, Claiirant Stuart T. Stanuell 111, as Tiustee for the

N.A.S.D. AWARD Vcar.^^J"^ NATIONAL ASSOCIATION OF SECJRITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claijnant 89-00527 SEP and * Craig S. Ostrander Respondent CASE SUMMARY In a claim filed with the NASD on or about Fehniary 16, 1989, Claimart PeoneWebber, Inc. ( "Claiirant") alleged that Rsspond^t Craig S. Ostrander ("Respondent") signed an Investment Executive Tridnee Agreement wherein ^e agreed to repay th