NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of Arbitration Between ) i DONALD F. MUSCHITZ Claimant ) NASD ARBITRATION NO. and ) 87-02002 SHEARSON LEHMAN BROTHERS, |NC ) and RAY MYERS ) CASE SUmARY Donald F. Muschitz ("Claimant") alleges that Shearson Hutton & Co. and Ray Myers ("Respondents") breached their fiduciary duty by churning the account, making fraudulent negligent misrepresentations, recommending unsuitable

^10 (OS. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony Aufiero Jr. and Anthony Aufiero Sr. vs. York Securities IC and Alan Marshall Claimant(s) Respondent(s) AWARD 87-01952 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on Oc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claimants Eliyahue Roussos and EMR Enterprises, Inc, vs Organic Health Natural Products, Inc. and Wedbush Securities, Inc. Respondents AWARD CASE NO. 87-01904 SUMMARY OF ISSUES This case was filed witn the National Associaticm of Securities Dealers, Inc. ("NASD") on October 14, 1987. This arbitration was instituted by Eliyahue Roussos and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, DC. ^ In the Matter of Arbitration Between )" ) ) Wilfred and Mercedes Bowen and Claimant(s) ) Sharon Chantler vs. ) ) Dean Witter Reynolds, Inc. and Respondent(s) Jeffrey Turk ) CASE #87-01895 ) ) AWARD Heard before the members of the Arbitration Panel: Oi April 18, 1989, the arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS 'n (IK; Matter of tho Arbi + rr:\tion Between (?(.>tiprt Cleary UeU.? A. Clearv Claimants : Award vs.' : 87-01882 I idclity Brokerage Services, Inc. Respondent Tlie iiiirlersigned, being the arbitrator selected to review and < 'Hi",vmir\e a matter in controversy between the above-mentioned Claimants c'lnd n^M'ondent, set forth in a submission to Arbitration signed by the Part-es "It "'jptemher 21, 1987 an

p NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Philip J. Poier Claimant vs. Charles Schwab & Co., Inc Respondent Case #87-01761 Award Heard before the members of the Arbitration Panel: CASE SUMMARY Claimant filed this claim on September 17, 1987. Claimant Philip J. Poier alleged negligence and partial performance on the part of Charles Schwab and Co., Inc. with respect to dissenter's rights

on V N.A.S.D. AWARD . - . . National Association of Securities Dealers. Inc. Suite 1680 NATICmL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 5C'602 (312) 899-4440 In the Matter of the Arbitration Betv^n Name of ClaijT^tfsl R. G. Dickinson & Co. 87-01720 Name of Respondent(a, Larry Thcrpson In a Statement of Claim filed with the NASD on September 14, 1987, ClaiiTHnt R, G. Dickinson & Co. {"Dickins

lATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Douglass A. and Janet C. Colwell Smal1 Fry, Inc. Claimants vs. The Stuart-James Company, Inc. Jan Blair Respondents Case #87-01685 Award On April Z5 and May 8, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Douglass A. and Janet C. Colweil and Small Fry, In

9 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ALICE A. BAKER V. Clainant QUICK & REILLY and NACE NICKEL Respondents AWARD NASD NO. 87-01675 The undersigned arbitrator has considered the controversy between the parties as set forth in submissions to arbitration signed by Clainant Alice B. Baker on September 1, 1987, and by Respondent Nace Nickel on December 30, 1987 and by Leslie C. Quick II

7 . c L2 VniiimR Number. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. John Marshall Respondent AWARD CASE NO. 87-01630 SUWARY OF ISSUES This case was filed on August 28, 1987. Claimant PaineWebber, Inc. alleged that Respondent, John Marshall, was hired by Claimant on May 5, 1986. Claimant and Respondent entered into a written agreement by which Respon