NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dennis M. Casey Judith A. Casey Claimants vs. Investnet Corporation Respondent CASE #89-02343 AWARD CASE SUWARY This claim was initially commenced on August 21, 1989. Claimants alleged that Respondent Investnet Corporation failed to execute a limit order to sell 4000 shares of T.V.X. causing Claimants losses when they were forced to sell sto

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) James McGinn . Claimant ) ) AWARD VS. ) ) NASD NO. 89-02338 Marshall Davis, Inc. ) Russell Dalbey Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 21, 1989. Claimant alleged lack of suitability and misrepresentation in the purchase of Las Vegas Resorts securities.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZPS In the Matter of the Arbitration Between Charles & Mary Brodsal and Marianne & Alfred Young CASE #89-02337 Graystone Nash/ Inc. Thomas Actoerly Kevin O'Riordan Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Public Arbitrator Janet C. Zwiebel Industry Arbitrator Andrew Bartfay Public Arbitrator This matter was initiated by a Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Mark A. & Pamela A. Sirianni 89-02335 Robert ShefUc In a claim filed with the National Association of Securities Dealers, Inc. ("NASD) on or about August 21, 1989, Mark A. and Pamela A. Sirianni ("Claimants") alleged that Robert Shefik ("Respondent") made material misrepresentations in connection with the purchase and sale of securities in their ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy B. and Norman C. Handley Claimants VS. AWARD #89-02332 Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Fitzgerald Respondents Case Summary Claimants alleged that Respondents failed to follow their instructions to transfer 900 shares of Athens Federal stock for cash, and the Claimants consequently suffered a financial loss since Respondents

Arfoitratkm N.A.S.D. AWARD M . National Association of Securities Dealers. Inc. - Suite 168O NATIONAL ASSOCIATION OF SECURITIES DEALERS __ Three First National Plaza / ~~~" . Chicago, IL 60602 • ,:- (312) 899-4440 In the Matter of the Arbitration Between flo.c.Bou i ti., ""^wa •••»—_ »t-. .„_. '»•'•.(• .4:'.;;. j. 89-02324 Merrill Lynch, Pierce Fanner & Smith Inc. Janes Porz CASE SOMWT In a Stateme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patricia Whitman, (Claimant) vs. Brean Murray, Foster, Inc. and John C. Moore, III, (Respondents) Case Number: 99-02801 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Patricia Whitman, hereinafter referred to as "Claimant": James C. Plowden-Wardlaw, Esq., Law Offices of James C. Plowden-Wardlaw, New York, NY Respondent, Brean Murray, Foster, Inc. ("Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kurt G. Kawohl ) Inge Kawohl Claimants ) ) AWARD vs. ) ) NASD NO. 89-02323 Shearson Lehman Mutton, Inc. ) Respondent ) SUMMARY OP ISSUES Claimants alleged Respondent, through its employee financial consultant, placed their funds in common stocks which were unsuitable for their experience and financial status. Claimants further alleged Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chester and Evelyn M. McKay Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-02319 Graystone Nash, Inc. Respondent(s) CASE SUMMARY Claimant(s) Chester and Evelyn M. McKay alleged that Respondent(s) Graystone Nash, Inc. sold Pink Sheet Stock which for Claimants was unsuitable. Respondent(s) denies Claimants' allegations. RELIEF REQUESTED Claimant(s)

CORRECTION AND M3DIFICATION OF N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward Gregory Bauer Jr, et al 89-02318 Mame of Respondent I sj. Dean Witter Reynolds, Inc. Prudential-Bache Securities Inc. Douglas A. Westcoat SUMMftHY OF ISSUES This case was filed with the National Association of Securities Dealers," Inc. ("NASD") on August 17, 1989. Claimants alleged b