NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Richards C. Gilbert Claimant vs. Graystone Nash, Inc. Ingrid England Respondents CASE #89-02065 AWARD CASE SUMMARY Claimant alleges his sell order was never executed. Respondent Ingrid England asserts that her co-respondent put all transactions on hold during a dissolution. Respondent Graystone Nash, Inc. contends Claimant never actually placed

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samoil Fink Claimant(s) vs. 89-02064 A.G. Edwards & Sons, inc. and Theodore Giergielewicz Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Samoil Fink alleged that Respondent(s) A.G. Edwards 6 Sons, Inc. and Theodore Giergielewicz committed unauthorized trading in Claimant's account held with Respondent. Respondent(s) den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Flora M. Dinnocenzo' Claimant vs. First Investors Corporation Respondent CASE #89-02059 AWARD CASE SUWARY Claimant, Flora M. Dinnocenzo, alleges that Respondent, First Investors Corporation placed her in unsuitable investment vehicles and committed fraud. Claimant also contends that Respondent failed" to properly advise her or respond to her inq

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Steven Brown Claimant(s) vs. 89-02057 Steven K. Spicer Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Steven Brown alleged that Respondent(s) Steven K. Spicer made misrepresentations. Respondent(s) maintain that he never made price predictions or guarantees on the outcome of the Claimant's securities. All se

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the totter of the. Arbitration Between NangofClaigantfs) Gregory Malley 89-02056 i Douglas Wright In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 21, 1989, Gregory Medley ( "Claimant" ) alleged that Douglas Wright ("Respondent"), a registered representative of Kidder Peabody & Co. , made material misrepresentations and emissions

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Haase Claimant(s) vs. 89-02053 Blidner, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Haase alleged that Respondent(s) Blidner, Robinson & Co., Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Health Net vs. 89-02052 N-, of Ba.mnd.fitm Prudential-Bache Securities, Inc. Shearson Lehman Hutton, Inc. Randal Frankel For Claimanti Steven A. Maadville, Esq., and Howerd E. Cole, Esq., Vbgt, Sanchez & Meadville, Encino, California. For neapantenti Prudential-Bache Securities: Marc S. Dobin, Esq., Prudential Securities, Inc., Mew York, Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hans Lee Claimant vs. Capital First Securities, Inc. Respondent CASE #89-02050 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1989, Claimant Hans Lee alleged the Respondent Capital First Securities, Inc. sold securities in the State of Maryland without first obtaining a license to do so a

'-' '•-; -3 /"? o. c- w '•• • 0- 5 D NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RICHARD C. HUNEGS ) Claimant ) and ) ) CASE NO. 89-02048 BEAR STEARNS & CO., INC. AND ) MARC H. KOZBERG ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about July 21, 1989, Claimant Richard G. Hunegs ("Claimant") alleged that Respondents Bear Stearns & C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Or. Henry L. and Florence E. Haines Claimants VS. PaineWebber, Inc. Respondent AWARD 189-02044 Case Summary Claimants, Henry L. and Florence E. Haines (hereinafter "Claimants 7 ) alleged that Respondent, PaineHebber, Inc. (hereinafter "Respondent") churned the Claimants' accounts. Claimants alleged that Respondent placed them in unsuitable