NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lillian Dawn Denham Claimant vs. Blinder, Robinson & Co., Inc. Respondents OATH AND AWARD OF ARBITRATOR 89-00676 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 employer of, employed by or related by blood or marriage to

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Carol Pally Claimant vs. Prudential-Briche Securities, Inc. and Irving Smiley Respondents Case f89-00674 AWARD CASE SUMMARY Claimant Carol Pally alleged that Respondents Prudential-Bache Securities, Inc. ("Pru-Bache") and Irving Smiley ("Smiley") breached their fiduciary and contractual obligations owed to the Claimant by executing transactions

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Brian I. Brown Claimant(s) vs. 89-00672 Stephen H. Rosenberg Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Brian I. Brown alleged that Respondents) Stephen H. Rosenberg made misrepresentations concerning trading practices and track record in account management. Respondent(s) did not defend. RELIEF REQUESTED Claimant (s) Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Geraldine Salvatorelli Claimant(s) vs. 89-00671 Vanderbilt Securities, Financial Clearing Services Corp., J.T. Moran & .Co, Dick Buonocore, Dennis Jordan, et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Geraldine Salvatorelli alleged that Respondent(s) Vanderbilt Securities, Financial Clearing Services Corp., J.T.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02586 Everen Securities, Inc., claimant vs. Joseph Boiler, respondent. ATTORNEYS: For Claimant, Everen Securities, Inc., ("Claimant") Nichele Moore, Esq. in-house counsel for Everen Securities, Inc., Chicago, IL, Respondent, Joseph Boiler ("Respondent"), appeared Pro Se,, Wichita, KS. DATE FILED: June 7, 1999 CASE SUMMARY: Claimant alleged that Respondent,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Douglas Ressman ) ) Claimant ) ) and ) CASE NO. 89-00669 ) " Morgan Gladstone and Company, Inc. and ) Gregory Brocks ) ) Respondent(s) ) } /9SO CASE SUMMARY ,. ————^—"^ „ jQ In a claim filed with the NASD on or about May 12, -J.9-35/ Claimant Douglas Ressman ("Claimant") alleged that Respondent' Morgan Gladstone and C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between Albert S. Kestnbaum vs. Shearson Lehman Hutton, Inc. Steve Rubin Respondents CASE #89-00668 AWARD CASE SUMMARY Claimant alleges Respondent failed to execute an option trade on October 14, 1989. Respondents contend Claimant had placed a limit order which could never be executed at that price. RELIEF REQUESTED Claimant seeks $200,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas & Iris McWilliams, Claimants 89-00664 Blunt Ellis & Loewi Incorporated, Respondent In a claim filed with the NASD on or about March 6, 1989 Thomas R. McWilliams and Iris B. MiWilliams alleged that Blunt Rllis & Loewi Incorporated ("BEL") through its employee Mark Lefevre made unsuitable investments in their accounts and made material mis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cornelius Young, Norma N. Young and Clara N. Evansen Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-00656 PaineWebber, Inc., John Echlin and Edward Van Name Respondent(s) CASE SUMMARY Claimant(s) Cornelius Young, Norma N. Young and Clara N. Evansen alleged that Respondent(s) PaineWebber, Inc., John Echlin and Edward Van Name failed to carry out a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ANN M. DONALDSON ) ) Claimant ) and ) ) CASE NO. 89-00649 ALEXANDER NAZARENKO AND ) EQUITY SECURITIES TRADING CO., INC. ) ) Respondents } CASE SUMMARY Ann M. Donaldson ("Claimant") alleged that Alexander Nazarenko a registered representative of Equity Securities Trading Co., Inc. (Nazarenko and Equity Securities are collectively