NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Don and Bonnie Springer Claimant(s) vs • 89-03164 Shearson Lehman Hutton, Inc. and Rodney Ambrose Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Don and Bonnie Springer alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Rodney Ambrose made unsuitable investments and churned Claimants' account. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-03157 Patrick Rosenauer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Patrick Rosenauer failed to pay for securities that he had purchased. Respondent did not respond. RELIEF REQUESTED Claimant(s) Dean Witter Reynolds, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. Jean Yarbrough Respondent(s) NOTICE OF ARBITRATION AWARD 89-03156 CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Jean Yarbrough refused to repay an amount which was erroneously credited to her account. Respondent did not defend. RELIEF REQUESTED Claimant(s) Dean Wit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Sandra Pasquariello Claimant v. AWARD 189-03155 Wheat First Securities, Inc. MiIon Chrisonan Charles Gill Respondents CASE SUMMARY The Statement of Claim was filed with the NASD on November 13, 1989. Claimant, Sandra Pasquariello, alleged that she was misled by respondents, Wheat First Securities, Inc., Milon Christman and Charles McGill into purchasing securities that were uns

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Mary Ellen Powers 89-03154 Mama of Respondents Queen City Securities Corporation H. Garrett Frey CASE SUMMARY Claimant, Estate of Mary Ellen Powers {hereinafter "Claimant") alleged that Respondents, H. Garrett Frey and Queen City Securities Corporation (hereinafter "Respondents") never explained to the Claimant material informatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert and Kathyrn Wilcox Claimant(s) vs. 89-03151 Prudential-Sachs Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Robert and Kathyrn Wilcox alleged that Respondents) Prudential-Bache Securities, Inc. negligently mishandled Claimants' transfer order. Respondent(s) denies Claimants' allegations. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. Harris Enterprises, Inc. et al Claimant(s) vs. 89-03148 Shearson Lehman Button, Inc. Prudential-Bache Securities, Inc., et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Larry E. Harris Enterprises, Inc. et al alleged that Respondent(s) Shearson Lehman Hutton, Inc. Prudential-Bache Securities, Inc., et a

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) Robert, Cynthia and Janice ) Danielewski ) ) Case No. 89-03147 ) ) Jeff Zack ) L.F. Thonpeon & Co. ) Otra Clearing, Inc. ) ) _ , _ ) Heard before the Arbitrator: Roger c. Benson CASE SDMWr This claim was filed with the National Association of Securities Dealers, Inc., on November 10, 1989. The hearing was conducte

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Warren Sharpenberg Claimant(s) vs. 89-03146 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Warren Sharpenberg alleged that Respondent(s) Prudential-Bache Securities, Inc. failed to supervise the actions of an employee with respect to a $5,000.00 loan. Respondent(s) maintain that the loa

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02912 Olde Discount Corporation, claimant vs. Margaret Hammons, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Legal Department, Olde Discount Corporation, Detroit, Michigan. Respondent Margaret Hammons ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 06/25/1999 CASE SUMMARY: Claimant