NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) EUGENE K. VESELKA ) Claimant ) v. ) NASD No. 89-00971 MAIN STREET SECURITIES, INC. ) MARK CHRISTIANSEN ) Respondents ) CASE SUKMARY Eugene K. Veselka ("Claimant") alleged that Main Street Securities, Inc. ("Respondent") failed to properly execute his order to sell shares of Inmedica. Respondent denied the claim. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Richard Hoffman Claimant vs. A.G. Edwards & Sons, Inc. Respondent CASE #89-00970 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1989, Claimant Richard Hoffman alleged the Respondent A.G. Edwards & Sons, Inc. did not perform the services it was hired to perform or performed the services

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Samuel G. Rosenthal, M.O. Elaine Rosenthal Claimants CASE #89-00966 AWARD vs. Prudential-Bache Securities, Inc. Respondent CASE SUWARY Claimants, Samuel G. Rosenthal, M.D. and Elaine Rosenthal, allege that they directed Respondent to place two Nuveen Tax Exempt Bond? which has an approximate value of $200,000.00 into a joint account for safekeeping

Arbitration N.A.S.D. AWARD National Association of Securities Dtaltr*. Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS Ne^Yor^Ne^York 10004 In the Matter of the Arbitration Between Thanas Gambino 89-00964 of Resondent s Greentree Securities Corp. Securities Settlement Corporation Allegiance Securities, Inc. Dominick & Dominick, Incorporated Individual's Securities, Ltd. Robert N. Kampfer Richard Allen Boxer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth T. Kaliski Claimant(s) vs. 89-00963 Ronnie Lasek and Stuart James Company, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Kenneth T. Kaliski alleged that Respondents Ronnie Lasek and Stuart James Company, Inc. mishandled his account. Respondents maintain that the Claimant's argument is inconsistent and that they a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dain Rauscher, Inc.*vs. Fred Hoffman Case Number: 99-02615 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimant, Dain Rauscher, Inc.: David M. Fogel, Esq., Dain Rauscher, Inc., Minneapolis, MN. Respondent, Fred Hoffman: James J. Moylan, Esq., Amstein & Lehr, Chicago, IL. CASE INFORMATION Statement of Claim filed by Claimant, Dain Rauscher, Inc. on or about

Arbitration National Annotation at SvcurttlM D«ai«r», inc. N.A.S.D. AWARD 425 Ca "fo™» St.. flm - 140 ° San Francisco. CA 94104 (415) 781-3343 FAX' (4151 3629946 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of naiTnanl-.s Dale T. Melgaard Marina R. Melgaard 89-00960 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James A. Perez 5HMMMCT OP

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark Lisnyansky Claimant(s) vs. J.T. Moran & Co. Respondent(s) NOTICE OP ARBITRATION AWARD 89-00959 CASE SUMMARY Claimant(s) Mark Lisnyansky alleged that Respondent(s) J.T. Moran & Co. made misrepresentations concerning investment return and failed to invest Claimant's funds in a new issue as instructed. Respondent(s) maintain that Claimant fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane C. Lambert Claimant(s) vs. 89-00956 Daniel J. Cooper, Felton Skipper, John Plum and John Bander Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Diane C. Lambert alleged that Respondents Daniel J. Cooper, Felton Skipper, John Plum and John Bander negligently mishandled Claimant account held with Respondents. Respondents de

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (sA Chayn Mousa 89-00950 of Resondent f s Prudential-Bache Securities Inc. Sam Lewis Fred Mecklenburg CASE] STflMARY In a Statement of Claim filed with the NASD on March 29, 1989, Claimant Chayn Mousa alleged that Respondent Lewis convinced Claimant to open a securities account with Respondent Prudential-Bache in August