Year NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Shearson, Lehman, Hutton, Inc vs. Gordon Gibson vs. Shearson, Lehman, Hutton, Inc and Steven Matthews Claimant Respondent and Counter-Claimant Counter-Respondent and Cross-Respondent AWARD CASE #88-02656 SUMMARY QF ISSUES This case was filed on August 22, 1988. Claimant alleged that Respondent failed to meet a margin call resulting in a debit balance owing of $15

° ^- =3 1 : 38^,., ^^^^^ ^ ^' O 3 NftrrroNftii Associxncw OF SEOiRmBs DBAI£RS "in th« Jiattttc of t>^"Arbitratlc« Between William J. Ba»ll, Rabwa W. Buell and 88-02647 2.r. Hatton & 0:xspaiiy, Inc., Boyd C. Clodfeltar and Max Catea William J. Buell, individually sjist as trust** of th» Acgonant Faaaiis Pensior; Truftt; Rebecca W. a»U, Individually and as trustee ot the Rebecca W. Buell Itust; and Geralduie H.Buell (ccaiectively referred t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ''){0p)0*^ ( • imiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii In the Matter of the Arbitration Between ) Charles Colman Violet Colman ) Claimants ) ) Case #88-02619 vs. ) Award David Lerner Associates Respondent The undersigned, being the arbitrators selected to review and determine the matter in controversy between the above-mentioned Claimants and Respondent, set forth in submiss

> 1 o NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. '^A^ < Sb, I N THE MATTER OF THE ARBITRATION between JEANNE THOMAS MOORE E. F. HUTTON & CO., INC 'escGn::en 'Q AWARD ^la"~anri3 arc -asooricar-z "raz^cn 3iqr,eG C/ "re car-. • 9 (E; 3 . ^ e 3 " e c ~ " V G ^ , . 3 r ' " '""j -j^ 3 J C 1 3 3 ; O ^ C a !^ C "i ~ V _2. "i-L)o ana Secter.Der l £ , ^nc -nan ••^a.'-^c -ev-ewea -'ar-c"es, ^as cecaea a^-c; ae-er-n ~3rz af -ps a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Sharloe Claimant(s) vs. Andrew Grossman and Mostel Sc Taylor Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02509 CASE SUMMARY Claimant(s) Jack Sharloe alleged that Respondent(s) Andrew Grossman and Mostel & Taylor Securities, Inc. transferred Claimant's stock account from Diversified Equities Corp. to Mostel & Taylor a

Region.^ J^J^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betv^n • -. Name of Claimantfs) Ron V. Bemer 88-02486 ^fey^e of Reaponc^ntfs) E.F. Hutton & Ccrpar^, Inc. (new kncwn as Shear3on Lehrran Hutton, Inc.) CASB glWARy In a Statement of Claim filed with the NASD on August 8, 1986, Claiitent Ron V. Bearor alleged that Respondent induced him to leave his arployment with Merrill Lynch and p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Valley Inland Pacific Constructors Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc and Susan Menashe Respondents Case #88-02479 Award CASE SUMMARY Claimant, Valley Inland Pacific Constructors, filed this arbitration on August 8, 1988. Claimant, Valley Inland Pacific Constructors, through its president and agent, Frank Fritzie, purchased

N.A.S.D NATIONAL ASSOCIATION OF SECURITIES DEALERS In the IVfeifer of the Arbitration Between Name of CI aim ant Dorothy H. Roberts 88-02460 Heme of Resrxjndentf Southern Securities David J. Hitzhusen CASE SUMMARY K u L. i 4 In a claim filed with the National Association of Securities l^er^, Inc. ("NASD") on or about August 4, 1988, Cialirant Dorothy H. FOjBbj ("Roberta") aDegrrl ^nset Respondent David J. Hitzhusen ("Hitzhusen"

NATIONAL ASSOCIATION OF SECURITIES DEALERS Q ' • 0 In the Matter of the Arbitration Between T, Rowe Price Investment Services, Inc. vs. Thomas A. Aquino Claimant(s) Respondent(s) NOTICE OF ARBITRATION AHARD 88-02443 CASE SUMMARY Claimant(s) T, Rowe Price Investment Services, Inc. alleged that Respondent^s) Thomas A. Aquino owes Claimant for the balance of Respondent's account, Respondent(s) did not defend. RELIEF REQUES

7/ rf~ 'I 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tne Arbicration Between ?a ineWebber la imanc AWARD vs . NASD =88-02419 Michael S. long Fiespondent REPRESENTATION Clsiinsn't was r'^icirsssri'tpd bv '••'il^ ism McM. MonticoTicry, Esc^. of PaineWebber, Inc., and Respondent represented himself, SUMMARY OF ISSUES This rase was filed with the National Association of Securities Dealers, Inc. ( 'NAS