N.A.S.D. AWARD { 1 NATIONAL ASSOCIATION OF SECURITIES DEALERS j In the Matter of the Arbitration Between ; Name of Michael Fountain and Anita Fountain 89-01813 of Respnocteni" * Smith Barney Harris Upham & Co. , Inc. Jeffrey Burrows Vincent Rossi In a claim filed with the National Association of Securities Dealers, Inc. ("NASD' 1 ) on or about June 15, 1989, Claimants Michael and Anita Fountain individually and on behalf of t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Baker Claimant(s) vs. 89-01809 Bradstreet Capital, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William B. Baker alleged that Respondent(s) Bradstreet Capital, Inc. committed unauthorized trades with respect to Claimant's account held with Respondent. RELIEF REQUESTED Claimant(s) William B. Baker requested

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC In the Matter of Arbitration Between) JIMMIE MARIE ADAMS Claimant v. KATHLEEN T. ROCK Respondent NASD No. 89-01808 CASE SttMARY In a claim filed on or about June 23, 1989 the Claimant alleged that the Respondent induced her to invest in unsuitable common stocks by misrepresentating the expected return (that they would double within 6 months to a year.) She further alleged that despite b

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yousef Amer and Reema Amer, (Claimants) vs. Josephthal & Co., Inc. and Nick Son, (Respondents) Case Number: 99-02708 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Yousef Amer and Reema Amer, hereinafter collectively referred to as "Claimants": Douglas R. Hirsch, Esq., Sadis & Goldberg LLC, New York, NY. Respondents, Josephthal & Co., Inc. ("Josephth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) E. R. Wood and Gladys Wood } ) Claimant(s) ) and ) AWARD ) Case No. 89-1802 Prudential Bache Securities, Inc.; ) Richard Ganley and Stephen P. Ziomek ) Respondent(s) ) ) CASE SUMMARY In a claim filed with the NASD on or about June 22, 1989. Claimants E.R. Wood and Gladys Wood ("the Woods") alleged that Respondents Richard Ganley, (•'G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Catherine Smith NanjB^gf^tegngndfintigl 89-01795 Merrill Lynch, Pierce Fenner & Smith Inc Gene Valentino of Ifrird Party Responden Nick Valentino In a Statement of Claim filed with the NASD on June 23, 1989, Claimant Catherine M. Smith alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, inc. and Gene Valentino represented a real

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Charles E., Jr. and Bette Ann Auslander JTWROS Claimant(s) vs. Shearson Lehman Button, inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01798 CASE SUMMARY Claimant(s) Charles E., Jr. and Bette Ann Auslander JTWROS alleged that Respondent(s) Shearson Lehman Button, Inc. made misrepresentations through its agent Ernie Krauss in order to generat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimants John C. anolen and Mary K. Smolen, JTWROS 89-01792 Name of Respondent ( s ]_ Prudential-Bache Securities Inc. Donald Federman CASE StMffiRY Claimants alleged that Respondents traded securities in the Claimants' account without authorization and placed the Claimants in speculative positions rather than the conservative, long-

URITIES In the Matter of the Arbitration Among Ingrid Saber Claimant vs . AWARD §89-01790 Edward D. Jones 5 Company Jim Schmidt Respondents Heard Before: Harry A. Carson Public Arbitrator Marshall Schugar Industry Arbitrator David H. Jaxvis Public Arbitrator CASK SUMMARY Claimant, Ingrid •:' Saber, alleged Respondents, Edward D. Jones & Company and Jin Schmidt violated federal securities laws , Michigan Blue Sky Law, perp

.IAN NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Brown Claimant vs. AWARD #89-01785 Norstar Brokerage Corporation Respondent Case Summary Claimant alleged that Respondent failed to properly execute sell orders of common stock in his account and did not follow his instructions for the executions. Respondent maintained that Claimant only received partial execution of his sell order due t