NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nancy E. MacCartney Claimant(s} vs. 89-01162 Capital Investment Graystone Nash Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant (s) Nancy E. MacCartney alleged that Respondent (s) Capital Investment/Graystone Nash misrepresented material facts as to Claimant's investment with Respondent. Respondent(s) denies Claimant's allegatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD ROSEN and PAULINE ROSEN. vs. SHEARSON LEHMAN HUTTON. INC., JOSEPH HUNTING and RICHARD SOMMERS, Claimants, Respondents. Case /89-01160 Award Heard before the members of the Arbitration Panel: Robert Kasky. Esq. Robert Herschmann, Esq. Mr. Douglas Delanoy Jr. . CASE SUMMARY This claim was filed with the NASD, Inc. on April 18,

NATIONAL ASSOCIATION OF SECURITIES DEFERS, INC. In the Matter of Arbitration Between ) ) HOGAN & JEAN MATHEWSON ) Claimants ) v. ) NASD NO. 89-01157 THOMAS MULCAHY JR. ) and ROBERT W. BAIRD & CO., INC. ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASD on April 18, 1989, Claimants Hogan and Jean Mathewson ("Mathewsons") alleges that Respondents induced their investing retirement funds into an IRA account by misr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Veronica Flores Claimant(s) vs. 89-01155 Graystone Nash, Inc. and Susan Sullivan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Veronica Flores alleged that Respondent(s) Graystone Nash, Inc. and Susan Sullivan misrepresented material facts as to Claimant's investment with Respondent. Respondent Graystone Nash, Inc. den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) ) ) Award Robert James Raphael Claimant ) ) ) NASD No. 89-01153 vs. ) ) W.J. Gallagher & Co. Respondents ) Gary Miller ) SUWARY OF ISSUES This case was filed on April 17, 1989. Claimant alleged lack 7>f suitability, unauthorized trading and excessive trading with respect to options purchases in his account. Respondents denied the c

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 BEFORE AN ARBITRATION PANEL OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS ANTHONY J. MIGLO and MARGARETHA MIGLO, Claimants, ) Case No. 99-02646 STIPULATION AND AWARD THEREON STONE & YOUNGBERG, LLC., JEFF GREEN and MORRIS GREEN, Respondents. IT IS HER

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Judith A. Smith Claimant(s) vs. 89-01152 Mark M. Ludlow and Legg, Mason, Wood, Walker, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Judith A. Smith alleged that Respondent(s) Mark M. Ludlow and Legg, Mason, Wood, Walker, Inc. made recommendations that were inconsistent with her investment goals. Respondent(s) maintai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) SCOBEE COMBS FUNERAL HOME, INC., ) Claimant, ) ) Case #89-01149 vs. ) Award SHEARSON LEHMAN HUTTON. INC. ) and DONALD FENTON, ) Respondents. ) 7 Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Harry Polansky John 0. Williamson CASE SUMMARY This claim was filed with the NASD, Inc. on April 17, 1989. The hearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ray A. Fields Claimant ) vs. ) CASE NO. 89-01147 PaineHebber, Inc. and Respondents ) J. Christopher Shelbourne ) SUWARY OF ISSUES This case was filed with the NASD on April 14, 1989. Claimant alleged that his broker misrepresented that the initial public offering of Bayou Steel Class A common shares was oversubscribed, that Claimant would not have purchased

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul Swendsen Claimant ) ) vs. ) AWARD ) Graystone Nash, Inc. and Respondents } CASE NO. 89-01146 U.S. Advisors, Inc. ) SUMMARY OF ISSUES Claimant alleged Respondents misrepresented the risk and profit potential of the common stock of Advisors Capital Technology. Claimant further alleged misrepresentations regarding a secondary offering of this