NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Rossin Claimant vs. Gruntal & Company, Inc. Respondent CASE #89-03054 AWARD CASE SUMMARY Claimant alleges Respondent made misrepresentations concerning the return an^ investment on the Keystone Series F4 Fund. Respondent alleges Claimant fully understood and was apprised of the nature of his investment. RELIEF REQUESTED Claimant seeks

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naiqe of Claimant B.C. Christopher Securities Co., Inc. No. 89-03049 Name of .Robert W. Grellner Name of Third- Party Respondents Shear s on Lehman Brothers , Inc . , Robert Ruppert, and Stifel, Nicolaus & Company, Inc. REPRESENTATION OF PARTIES Claimant, B.C. Christopher Securities Company, Inc. -was represented by J. Brett Armatas, Es

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Names of Claimants Frank J. and Rose M. Bancone Nicholas Bancone Case No. 99-02904 Names of Respondents Gruntal&Co., L.L.C. Michael D. McAfee REPRESENTATION OF PARTIES For Claimants Frank J, and Rose M. Bancone and Nicholas Bancone, hereinafter collectively referred to as "Claimants": Richard A. Stephens, Esq., Boca Raton, Florida. For Respondents Gruntal &

NATIONAL ASSOCIATION OF SECURITIES DEALERS 7 In the Matter of the Arbitration Between Samuel Hecht Clairaant(s) vs. 89-03047 Waterhouse Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel Hecht alleged that Respondent(s) Waterhouae Securities, Inc. sold common stock on Claimant's behalf without authorization. Respondent(s) maintain that they acted in Claimant's best interest by conve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonita A. Jankowski 89-03046 Name of RespondentIs1 Blunt Ellis & Loevri Incorporated and Judy Anderson In a claim filexl with the NASD on or about October 18, 1989, Bonita A. Jankowski ("Claimant") alleged that she was unsuitable for the investments made in her account in light of her stated investment objective* of income and preservation of p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. • ^ ^ ™» "~ •»«••«••• •• ••••^^^•^••flB ^ ^^MB^^M«M^ «M _ _. ^ ^ "^ •» ^^ w ^ < ^ ^ •• ^ *V ^ MB ^ ^ In the Matter of the Arbitration Between Bennett Mostel Claimant vs. CASEf 89-03040 AWARD Beuret & Company, Ltd. Wall Street Clearing Co. Respondents CASE SUMMARY Claimant alleges that Respondents failed to execute sell orders for warrants of Med Master Systems, Inc. as instructe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in r.he Matter of the Arbitration Between Name o^ Claimants Robert T. and Lorraine C. Canavan Case # vs. 89-03038 Award Name of Respondent(s} .John Hancock Distributors, Inc. (George King Claimants, Robert and Lorraine Canavan, allege that Respondents, John Hancock Distributors, Inc. and George King, failed to disclose to them that there were cotmissions and sales charges in refer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimnt City Of Montevallo Water & Sewer Board 89-03037 Mame of Respondent ( s } William Doyne McCord Richard Gene Smith Dan Edward Maudy Richard Lee Knox Richard Michael Brucki Richard Henry Wilson Gary Hugh Nichols Joe Hirsch Selz James Lee Hoyt United Capital Corporation Heard before the < arbitrator /members of the

N-A.S.D. AWARD NATIONAL ASSXIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rente and Arnold 89-03036 Shelter Bock Securities Corp. Ray C. Rivera Jr. Jack Skiddell Grace Skiddell In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 30, 1989 Rons and Nancy Arnold. ("Claimants") alleged that Ray Rivera, Jr. ("Rivera") while employed at Shelte

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bateman Eichler, Hill Richards, Inc. Claimant(s) vs. 89-03035 G.J. Stewart and Rebecca Stewart Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bateman Eichler, Hill Richards, Inc. alleged that Respondent(s) G.J. Stewart and Rebecca Stewart owes Claimant an amount that was erroneously credited into Respondents' account.