NATIOHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joe F. and Viola M. Pirages Claimant(s) vs. 89-02541 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joe F. and Viola M. Pirages alleged that Respondent(s) Edward 0. Jones & Co. provided misleading information concerning the value of certain securities in Claimants' account. Respondent (s) maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert C. and Elizabeth Swearingen vs. Claimant(s) 89-02540 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert C. and Elizabeth Swearingen alleged that Respondent(s) Shearson Lehman Hutton, Inc. failed t'o execute customer order to transfer securities. Respondent denies Claimant's allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE# 89-02538 AWARD In the Matter of the Arbitration Between Thomas A. Monahan Claimant vs. PaineWebber, Jackson & Curtis, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1989 Claimant Thomas A. Monahan alleged the Respondent PaineWebber, Jackson & Curtis, Inc. failed to timely submit his U-4 application to the r

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. Suits 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between Name of Susan B. Licata Name of Respondent ( s ) Summit Investment Corporation 89-02536 CASE SCMftRY In a claim filed on or about September 12th, 1989, Claimant alleges that Respondent Sumni

NATIONAL ASSOCIATION OF r .fT!JRITIES DEALER 1 ".. ! MC. In the Matter of the Arbitration Between Alvin Hi I son VS. Hark Mil ana Claimant Respondent CASE ^89-02534 AWARD CASE SUMMARY Claimant alleges Respondent failed to execute an order to sell and further the stock was an unsuitable investment. Respondent deniH the allegations and asserted that Claimant was a sophisticated investor, who never gave a direct orde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of f!lj»iniants Dennis Puckett 89-02529 nf Tteg-«Trrie Shearson Lehman Huttcn, me. Ernest V. Mancrief III Claimant Dennis Puckett alleged that Respondents Shearson Lehman Button, Inc. and Dennis V. Moncrief, III engaged in multiple unauthorized securities transactions in his account including margin trades and trades of options. Claimant fu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles R. Tarver Claimant ) ) vs. ) AWARD ) Shearson Lehman Hutton ) Brothers, Inc., aka ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 89-02526 ) SUMMARY OF ISSUES Claimant alleged that Respondent, through its employee broker, (1) failed to execute an order to sell 2000 shares of Repligen common stock, and (2) executed an unauth

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. Westfall Claimant(s) vs. 89-02659 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert D. Westfall alleged that Respondent(s) Dean Witter Reynolds, Inc. failed to follow Claimant's instructions regarding the transfer of certain funds from an account maintained with Respondent to an IRA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony M. Manochio Aurora Manochio Fernanda C.P. Berntrdes Claimants vs. CASE# 89-02525 AWARD John Passaro Vincent DeSantis Robert Mulvihill Respondents CASE SUMMARY Claimants alleged that Respondents made unauthorized transactions. Respondent Individual Securities, Inc. maintained that the transactions were authorized. RELIEF R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Linda S. Fade11 Claimant(s) vs. 89-02524 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Linda S. Padell alleged that Respondent(s) Prudential- Bache Securities, Inc. mishandled Claimant's account. Respondent (s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Linda S. Pa