NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Grace D. Morton Case #89-01287 CLAIMANT AWARD vs. Harold F. Reichenthal Financial Advisors RESPONDENT CASE SUWARY Claimant Grace D. Morton alleged that the Respondent Harold F. Reichenthal Financial Advisors, acting through Harold F. Reichenthal, misled and misinformed her with respect to her investment in the Massachusetts Financial Services Go

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02665 Denn C. Lemasurier, claimant vs. American Savings Bank n/k/a Washington Mutual Bank and W.M. Financial Services, Inc., respondents. ATTORNEYS: Claimant Denn C. Lemasurier ("Claimant"), appeared Pro Se., Moorpark, CA. For Respondents American Savings Bank n/k/a Washington Mutual Bank and W.M. Financial Services, Inc. (collectively "Respondents"), Susan L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Betty J. MzClellan 89-01280 Shearson Lehman Brothers CftSE Betty J. McClellan ("Claimant") alleged that a representative of Shearson Lehman Brothers, Inc. ("Respondent") made misrepresentations to her regarding the risk to the principal of her investment. Respondent denied the claim and further alleged that the Claimant was fully advised of all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Jeanne L. Gollard 89-01278 Name of Respondent(s) Bear Stearns & Company Alan Shpall SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 2, 1989. Claimant alleged unsuitability, unauthorized transactions, breach of fiduciary duty, and "churning" in connection

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles E. Henely Claimant(s) vs. 89-01277 Patrick Farrell. and Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles E. Henely alleged that Respondent(s) Patrick Farrell and Edward D. Jones & Co. breached their fiduciary duty to Claimant by recommending unsuitable investments and misrepresenting

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Rich Yuhasz and Jack Korzilius, ) Claimant ) Case #89-01273 vs. ) Award Power Securities Co., ) Dave Blake, and ) Jeff Smith, ) Respondents ) CASE SUMMARY Claimants allege that they provided their broker, Dave Blake, with stock certificates for Development Ventures Corp. C.P., directed him to sell the stock and Respondents failed to do so. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Walter & Dorina Crepeau vs. Gateway Securities, Inc. Holmer P. Gronager David E. HestorT Claimants Respondents AWARD *89-01272 Case Summary Claimants alleged that Respondents entered the Claimants into unsuitable securities transactions and violated industry compliance rules in setting up Claimants' account. Claimants further alleged that Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony L. Mercatino Claimant(s) vs. 89-01270 Morunouth Investments, Inc. and Lillians Tietjen Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony L. Mercatino alleged that Respondent(s) Monmouth Investments, Inc. and Lilliane Tietjen mishandled a transaction. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s

[n the Matter of the Arbitration Between John P. Small Claimant vs. AWARD '89-01267 Garfieid Securities, Inc. Respondent Case Summary Claimant John P. Small alleged that Respondent Garfieid Securities, Inc. misrepresented the purchase price and commission charge on a buy order of common stock so Claimant subsequently stopped payment on the check for the orders that later created a debit balance in his account with Respondent. Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Betweenf Name of Claimant ) Mark S. Stanley ) Case } #89-01266 Name of Respondents. ) Shearson Lehman Hutton, Inc. ) William J. Marr and Lee Collins ) Claimant, Mark S. Stanley alleged that Respondents failed to disclose the risks to him inherent in options trading and recommended unsuitable options trading to him. Claimant further alleged thai-.