NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne W. Mohr & Lola J. Mohr Claimant(s) vs. Blunt Ellis & Loewi, Steven Mooberry and- Sidney Carlson Respondent(s) NOTICE OF ARBITRATION AWARD 89-00733 CASE SUMMARY Claimant(s) Wayne W. Mohr & Lola J. Mohr alleged that Respondent(s) Blunt Ellis & Loewi, Steven Mooberry and Sidney Carlson failed to provide Prospectives prior to the sale of certain

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Donald Borsos Claimant(s) vs. 89-00730 Shearson American Express Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Donald Borsos alleged that Respondent(s) Shearson American Express misrepresented facts about stocks. Respondent(s) denies each and every allegation. RELIEF REQUESTED Claimant(s) John Donald Borsos reque

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Cynthia Craig Harwood vs. Case No. 99-02593 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Claimant Cynthia Craig Harwood, hereinafter referred to as "Claimant": Peter W. Culley, Esq., Pierce Atwood, Portland, Maine Respondent A.G. Edwards & Sons, Inc., hereinafter referred to as "Respondent": Norman S. Buckvar, Esq., A.G. Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naresh K. & Santosh K. Jain Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00729 CASE SUMMARY Claimant(s) Naresh K. & Santosh K. Jain alleged that Respondent(s) Charles Schwab & Co., Inc. induced them to purchase stock which then declined in value. Respondent(s) maintain that Claimant's purchase was the res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) ) CASE NO. 89-00727 ) In the Matter of the Arbitration Between Roy J. Ourbin Claimant(s) and Shearson Lehman Mutton, Inc. and John Williams Respondent(s) CASE SUMMARY 1. John Williams ("Williams"), a registered representative of Shearson Lehman Mutton, Inc. (Williams and Shearson are collectively referred to herein as "Respondents") engaged in the following: a. Made material

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tom J. & Brigitte A. Harper Claimants ) vs. ) AWARD Wedbush Securities, Inc. Respondent ) CASE NO. 89-00725 SUMMARY OF ISSUES This case was filed on March 13, 1989. Claimants alleged the following: unauthorized sale of five index options. Respondent denied the claims and alleged negligence on the part of claimants in failing to monitor the statements and advise

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: DOROTHY BATOR SIEGEL, Claimant, v. NASD NO. 89-00724 THOMPSON MCKINNON SECURITIES, INC., SCOTT E. SHAW, FAITH DIPPOLD and JAMES L. SCOVIC, Rerpondents. / CASE SUMMARY Claimant, Dorothy Bator Siegel, alleges that Respondents, Thompson McKinnon Securities, Inc., Scott E. Shaw, James L. Scovic and Faith Dippold, violated the NASD Rules of Fair

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant?si Lloyd A. Sauer Arbitration National Association of Sacuritias Daatars, Inc. Suite 1660 Threa First National Pla; Chicago. IL 60602 (312) 899-4440 89-00723 SEP PaineWebber, inc. 3/990 CASE SMART , In a Statement of Claim filed with the NASD on March 13th, 1989, Claimant Lloyd A. Sauer alleges that

N.A.S.D. AWARD Nation*! Association el Securities Dealer*, Inc. NASD Financial Center NATICNAL ASSOCIATION OF SECURITIES DEALERS Ne^!Sk*N«w v£k in the Matter of the Arbitration Between Name of Claimant Richard Severance 89-00719 Name of Regpgnder^ts Corna and Co., Inc. Brad Solomon Heard before: Robert C.Devlin Public Arbitrator Bert C. Linder Public Arbitrator Robert A. Greenberg Industry Arbitrator Appearance of Representat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ross and Mabel Rogers Claimants ) ) vs. ) AWARD ) Drexel Burnham Lambert, Inc., Respondents ) CASE NO. 89-00717 Jerry Gettinger and George ) Arterberry ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 15, 1989. Claimants alleged unsuitability and churning with respect to trans