NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert J. VanHorn & Claire G. VanHorn vs. Claimant(s) Olde Discount Corporation Respondent(s) NOTICE OP ARBITRATION AWARD 88-03662 CASE SUMMARY Claimants Robert J. VanHorn & Claire G. VanHorn alleged that Respondent Olde Discount Corporation never delivered securities purchased and as a consequence Claimants lost legal rights when the issuing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Helene Dollinger Claimant vs. Case =88-03891 AWARD Northeast Savings Bank and Invest Respondents CASE SUMMARY Claimant Helene Dollinger alleged that she told the representative of Responcent Invest that she Canted to purchase on IRA that was safe and suitable for her needs. Claimant alleged that the representative of the Respondent Invest recomm

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) t PETER J. MAY Claimant } v. ') CASE NO. 88-03531 SHERWOOD CAPITAL, INC. ) Respondent j CASE SUMMARY In a claim initially filed on or about November 4, 1988 and amended on or about January 14, 1989, the Claimant alleged that the Respondent encouraged him to invest in an unsuitable stock purchase. The Claimant further alleged that excessive commissi

Awara NASD Dispute Resolution, Inc. in the Matter of the Arbitration Between Name of Claimant Bynor Corp revision Profit Sharing Trust Case No. 99-03405 Name of Respondent Web Street Securities, Inc. REPRESENTATION OF PARTIES For Bynor Corp. Pension Profit Sharing Trust ^"Bynor 11 ), hereinafter referred to as "Claimant": W. Andrew Clayton, Jr., Esq. of Wallace, Browning, Clayton & Krawetz, Sarasota, Florida. For Web? Street Securiti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of~the Arbitration Between Name of Claiman^ fsfl Jacqueline S. Sincoff et. al. 88-03599 Name of Stifel Nicolaus & Co. Inc. Richard Naumer CASE SUMMARY In a statement of claim filed with the NASD on or about November 18, 1988, Claimant Jacqueline S. Sincoff, individually and as co-trustee with her sister Jean Srenco on behalf of the Jacqueline S. Sincoff Revocable Liv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard J. Madden, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case #88-03882 Award CASE SUMMARY Claimant filed the above-captioned matter for arbitration on December 20, 1988. He alleged in the claim that Respondent failed to advise him of the inherent risks involved in highly speculative index option trading on margin,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Garrett S. Jacobs Claimant(s) vs. 88-03860 First United Securities of California and Peter Tosto Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Clairaant(s) Garrett S. Jacobs alleged that Respondent(s) First United Securities of California and Peter Tosto committed unauthorized transactions in Claimant's account held with Respondent. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Theodore A. Lata Claimant(a) VS. 88-03854 Shearson Lehman Button and James A. Alonge Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Theodore A. Lata alleged that Respondents Shear son Lehman Button and James A. Alonge misinformed him with respect to a Government Trust offering he had invested in* Respondents maintain that Clai

riAIInNAI .*'.'. MI "I MHII'ITII • OKAM I-' , IN(.. In I he Matter of the Arbitration Between Roberto Luzio Hugo Luzio l.uzio ial Bache Securities, Inc. Claimants Respondent CASE #88-03730 AWARD l.'V.F NUMMARY li-Mif HM«|H unsuitable investments into market options .UK! misrepresented i hf» investments ^ w^ll. Respondent r'.ni tends that based on the iti j l wwfh *nd iriveslment objectives, the investments wetf? suitable.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the iMatter of the Arbitration Between Christian W. Klein Claimant vs. Bear Stearns and Company, Inc. Respondent vs. Joseph Lugo Third Party Respondent AWARD Case #88-03695 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1988 Claimant Christian W. Klein alleged the Respondent Bear Stearns and Company, Inc. executed unau