NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #89-01228 AWARD In the Matter of the Arbitration Between Mary Arakelian Li]i Aram Mash Sherene Aram Claimants vs. Leon Okurowski U.S. Boston Capital Corporation Respondents CASE SUMMARY Claimants, Mary Arakelian, Lili Aram Mash and Sherene Aram, allege that Respondents, Leon Okurowski and U.S. Boston Capital Corporation,placed them in- unsuitable investment vehicles such a

DEC 28* NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Oatz and Lynn Oatz Claimants vs. AWARD #89-01227 Equities International Michael Ermilio Respondents Case Summary Claimants alleged that Respondent purchased stock for their account without their knowledge and permission and subsequently promised to remove the stock from their account but failed to do so correctly. Respondents Equities

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerry James , Trustee Mark Ancel Corporation Profit Sharing Plan AWARD vs . NASD =89-01225 2ngler-Budd & Company ) Oberweis Securities, Inc. j Gary Scharff Respondents REPRESENTATION Both Claimant and Respondent Gary Scharff represented themselves. SUMMARY OF ISSUES Claimant alleged breach of fiduciary duty, fraud, breach of oral

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: ANNE M. ROCKAFIELD v. OLDE DISCOUNT CORPORATION AND PAUL SEALS Case Number: 99-2663 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant Anne M. Rockafield ("Rockafield"), hereinafter referred to as "Claimant": Anthony V. Trogan, Esq., Weisman, Trogan, Young & Schloss, P.C., Bingham Farms, Michigan. Respondents, Party Old Discount Corporation ("Olde") and Paul Seals ("Se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas and Rene Livemois Claimant(a) vs. 89-01221 Richard Gross Respondent(s) NOTICE OF ARBITRATIOH AWARD CASE SUMMARY Claimant(s) Thomas and Rene Livemois alleged that Respondent(s) Richard Gross sold worthless stock with inflated prices using high pressure sales tactics and promises of high returns on investments. Respondent(s) denied all allega

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Ronald S. Joelson, Trustee for the Joelson Living Trust dtd 5/26/83 Claimant vs. Wells Fargo Securities/Wells Fargo Bank Respondents OATH AND AWARD OF . ARBITRATOR 89-01220 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert 0'Byrne Claimant(s) vs. 89-01217 Rosemary Grady Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert 0'Byrne alleged that Respondent(s) Rosemary Grady made misrepresentations. Respondent(s) claimed she does not know Claimant. RELIEF REQUESTED Claimant(s) Robert 0'Byrne requested damages of Two Thousand Five Hund

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joel and Cathy Miller Claimant(s) vs. 89-01216 Pacific Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Joel and Cathy Miller alleged that Respondent(s) Pacific Brokerage Services failed to execute a stop or sell order on a timely basis. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frances Lucha vs. Shearson Lehman Mutton, Inc. Jack Klein Claimant Respondents CASE *89-01215 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1989 Claimant Frances Lucha alleged the Respondents engaged in unauthorized, unsuitable trading and churned her account. Claimant further alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dankwart and Christa Koehler Claimant(s) vs. Greentree Securities Corp. and I.A. Rabinowitz & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01213 CASE SUMMARY Claimant (s) Dankwart and Christa Koehler alleged that Respondents) Greentree Securities Corp. and I. A. Rabinowitz & Co. made unauthorized purchases. Respondent I.A. Rabinowitz & Co. mai