NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Neil R. Gore Sandra S. Gore Claimants vs. Shearson Lehman Brothers, Inc. Elias Argyropoulos Respondents AWARD NASD NO. 89-01493 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 19, 1989. Claimants alleged: failure to execute, lack of suitability -and- misrepresentation in th«

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) Richard and Phyllis Haley Claimants ) vs. ) AWARD PaineWebber, Inc. and Respondents ) CASE NO. 89-01461 Donald Steelier ) ) SUMMARY OF ISSUES This case was filed on May 16, 1989. Claimants alleged that: I. The prospectus of the Putnam High Yield Trust upon which they relied in purchasing shares therein from Respondents did not disclose that dist

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles & Terry C. Marshall Claimants vs. AWARD #89-01399 Thomson McKinnon Securities, Inc. Greg Williamson Respondents Case Summary Claimants Charles and Terry C. Marshall (hereinafter "Claimants") alleged that Respondents Thomson McKinnon Securities, Inc. (hereinafter "TMS") and Greg Williamson (hereinafter "Williamson") placed Claimants in an u

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Dorothy A. Petrushka Claimant Case #89-01393 vs. AWARD Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. Respondents CASE SUWARY Claimant Dorothy A. Petrushka alleged that Respondents Individual Securities Ltd., Robert Catoggio and Donrinick Investor Services Corp. (collectively, "Respondents") purchased and s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DONALD W. BOOTH and EVELYN T. BOOTH, ) Claimants, ) ) Case 189-01384 vs. ) Award ) A.G. EDWARDS & SONS. INC. and ) ROBERT COOK. SR.. ) Respondents. ) ) Heard before the member of the Arbitration Panel; George S. Coit Jr., Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on April 28, 1989. The hearing was conducted in Ta

Arbitration N.A.S.D. AWARD NattoiwJ AModrion of Sftcuritin OMtat*. inc. . Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS ChiSgo,T 6060?' (312) 899-4440 In the Matter of the Arbitration Between Mama of Richard L. Anderson 89-01361 Craig Hallum, Inc. Thomas N. Roeenberger Janes Ferguson Momchilo vucenich John Robinson George Bonniwell William Thayer Edward Fleitznan Richard Heimerl CASE SlfcWARY In a

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Lorenzo Frisenda Claimant(s) vs. 89-01325 Tom Egan, Underbill Associates and Bill Batcher Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lorenzo Frisenda alleged that Respondent(s) Tom Egan, Underbill Associates and Bill Batcher committed unauthorized trading in Claimant's account. Respondent(s) did not respond to Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. and Marsha L. Rowlands vs. Graystone Nash, Inc. vs. Peter Blanding and R.B. Marich, Inc. Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-01309 CASE SUMMARY Claimant(s) James A. and Marsha L. Rowlands alleged that Respondent(s) Graystone Nash, Inc. mishandled their account. Respondent Graystone Nash, Inc. denies kn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03415 American Fronteer Financial Corporation, Claimant vs. Robert Roon, Respondent. ATTORNEYS: For Claimant American Fronteer Financial Corporation, hereinafter referred to as "Claimant": Thomas D. Birge, Esq. of Birge & Minckley, P.C., Denver, CO. Respondent Robert S. Roon ("Roon") did not appear. DATE FILED: July 27, 1999. CASE SUMMARY: Claimant alleged the following: Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Morris Chafetz and Marion Chafetz Claimants vs. AWARD #89-01237 Steven W. Dorman Washington Financial Group, Inc. Penn Mutual Equity Services Respondent Case Summary Claimants Morris and Marion Chafetz alleged that Respondents Steven W. Dorman, Washington Financial Group, Inc. and Penn Mutual Equity Services placed the Claimants into two unsuitabl