NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Lesley Cowenhoven Claimant vs. Case #89-03139 AWARD Shearson Lehman Hutton, Inc. and William R. Cosbob Respondents CASE SUFHARY Claimant, Lesley Cowenhoven, alleged that Respondent, Shearson Lehman Hutton, Inc. and William R. Cosbob, placed her account into unsuitable investments, violated the "know you customer" rule, engaged in unauthorized

Arbitration N.A.S.D. AWARD National Association of Securities Detters. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS *« Natlona , P ,aza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Jack S. Nalson 89-J03126 Sherwood Capital Inc. James Mariani CASE SOUKS In a claim filed with the NASD on or about November 11, 1989, Claimant: alleged that Sherwood Capital, Inc. and James Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael and Adeline Verbiar Claimant(s) vs. 89-03125 PaineWebber, Inc. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Michael and Adeline Verbiar alleged that Respondent (a) PaineWebber, Inc. executed a large amount of trades in Claimants' account in order to generate large commissions without regard to the safety of Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Hunken Claimant(s) vs. 89-03124 Rosenkrantz, Lyons & Ross, Phillip Carducci and Lewco Securities, as agent for Wetheira Schroder, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Richard Hunken alleged that Respondent (s) RosenJcranz, Lyons & Ross, Phillip Carducci and Lewco Securities, as agent for Weth

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Clai Shearson Lehman Huttcr, Ire. 89-03121 Name of RespondftriTi [ s ) Ann F. Johnson Kenneth Pagago B.R. Davidson In a claim filed with the National Association of Securities Dealers, INC. ("NASD") on or about November 8, 1989, Claimant Shearson Lehman Hutton, Inc. ("Shearson") alleged that Respondent Ann F. Johnson, ("John

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurice H. King, Jr. Claimant(s) vs. F.N. wolf & Co., inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03120 CASE SUMMARY Claimant(s) Maurice H. King, Jr. alleged that Respondent(s) P.N. Wolf & Co., Inc. engaged in misrepresentation. Respondents) maintain that there was no wrongdoing by F.N. Wolf & Co., Inc. RELIEF REQUESTED Claimant(s) M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between William LaCouture and Dorothy Fitch LaCouture vs . Shearson Lehman Hutton, Inc. Claimants Respondent CASE* 89-03115 ORDER The undersigned arbitrators appeared for the hearing on September 27, 1990 and were advised the parties had reached a settlement. Pursuant to the National Association of Securities Dealers, Inc. Code of Arbitration Proced

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hannie Kristina Bayless, Claimant 89-03114 GRH Securities, Inc. and Nelson F. Gould, Respondents In a claim filed with the NASD on or about November 6, 1989, Hannie Kristina Bayless ("Claimant") alleged that Nelson F. Gould ("Gould") and GRH Securities, Inc. ("GRH") (collectively as "Respondents") made material misrepresentations and emitte

NASO, Arbitration ® National Association of SacurttiM OMtors, Inc. One East Broward Boulevard N.A.S.D. AWARD f"* 8 1 °°° , _ .„ ,_ Ft Lauderdaie, Florida 33301 (305) 532-7391 NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Dean K. Jennings 89-03109 Monica Chessie Paul Paine Heard before the members of the Arbitration Panel t Nalton Marrow Bennett, Esq. James A. Smith, IV A.

Arbitration N - A - S ' D - Nation., Association of Securities Dealers, inc. - Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Rebecca Selwyn & Sara-Ann Polit 89-03107 flame of Rasnondent(s) Merrill Lynch, Pierce Fenner & Smith Inc CRSE SOHAK? In a claim filed with the National Association