NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ William J. Hillery Claimant ) vs. ) AWARD ) Smith Barney, Harris Respondent ) CASE NO. 89-03192 Upham & Co., Inc. ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 13, 1989. Claimant alleged an improper execution of an option trade of Standard & Poor 100 Index Puts. Respondent

NASD Arbitration N.A.3.LI. NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the~ Matter of the Arbitration Between Name of Claimant(s\ William H. Corcoran 89-03188 Name of Reaponderytf s > Bear Stearns & Company Rodecker & Conpany Steven Babiuk National Anodatfon of Securities Outers, Inc. NASO Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: Anthony V. Trogan of Weisman, Trogan, Young & Schlos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) Beryls & Mark G. Lee ) ) Case No. 89-03185 Name of F Stanley Levin Norman Bobbins Jeff Farber Alvin Rosenblum Heard before the Arbitrator: Michael R. Casey, Eaq. CASE SUMMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing was conducted in Fort Lauderdale, Florida on October 18, 1990 with a total of o

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Christopher Ward Demba Claimant(s) vs. 89-03183 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Christopher Ward Demba alleged that Respondent(s) Wall Street Clearing Co. wrongfully cancelled four sales transactions in Claimant's account. Respondent maintains that it routinely processed the transacti

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) BRIAN A. GROVE ) Claimant ) and ) ) CASE NO. 89-03182 FIRST COMMERCE INVESTMENT SERVICES AND ) BOB BROWN ) Respondents } CASE SUMMARY In a Statement of Claim filed with the NASD on November 14, 1989, Claimant Brian A. Grove ("Grove") alleged that Respondents First Commerce Investment Services ("First Commerce") and Bob Brown ("Brown") improper

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lorraine F. O'Connell Claimant(s) vs. Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-03180 CASE SUMMARY Claimant(s) Lorraine F. O'Connell alleged that Respondent(s) Prudential-Bache Securities, Inc. owes her for the difference between the trade date and the sale date of certain securities. Respondent(s) main

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph A. Blissit, Jr. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Names of Respondents Joseph A. Blissit, Jr. Wheat First Union 99-02919 Consolidated with 99-2943 REPRESENTATION For Joseph A. Blissit, Jr. ("Blissi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Phillips 89-03179 Kbbar Financial Corp. Heard before the Arbitrator: David A. Tbwnsend, Esq. CASE SCMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing was conducted in Tampa, Florida on September 12, 1990 with a total of one session. Claimant, Gary Phillips ("Phillips"), alleged that RespmiJent, Kbber F

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ilene F. Boyd Claimant(s) vs. 89-03178 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Ilene F. Boyd alleged that Respondent(s) Shearson Lehman Button/ Inc. did not make a suitability determination aa to Claimant's investment made through Respondent. Additionally, Claimant alleges that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore S. Morando Claimant(s) vs. 89-03176 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Salvatore S. Morando alleged that Respondents) Wall Street Clearing Co. failed to cancel a purchase order as requested by Claimant. Subsequently, the securities in question were sold at a loss by Respondent