NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis L. Barton Claimant(s) vs. 89-00212 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dennis L. Barton alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. did not determine whether Claimant was suitable as an investor of Respondent's recommended investments a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gladys M. Cause Claimant(s) vs. 89-00211 Thomson McKinnon Securities, Inc. and Stan Griner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gladys M. Gause alleged that Respondent(s) Thomson McKinnon Securities, Inc. and Stan Griner committed unauthorized transactions with Claimant's account. Respondent (s) deny Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Manuel J. Paikeday vs. Jeffrey A. Wood Claimant Respondent CASE 189-00203 AWARD CASE SUMMARY Claimant Manuel J. Paikeday alleges that Respondent Jeffrey A. Wood grossly misinformed Claimant concerning investments of blind pool entities in the penny stock market and related bid and ask prices thereto and that Claimant relied upon Respondent's mis

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Dorothy Gross Beam Claimant ) ) vs. ) AWARD Wedbush Securities, Inc. and Respondents ) CASE NO. 89-00201 Rosemary Shannon ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 17, 1989. Claimant alleged that Respondents made misrepresentations and failed to disclose the risky and speculat

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02556 Everen Securities, Inc., claimant vs. Jason G. Smith, respondent. ATTORNEYS: For Claimant, Everen Securities ("Claimant") appeared A. Brad Busscher, in-house counsel for Everen Securities Inc., Chicago, IL. Respondent Jason G. Smith ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED: June 3, 1999 CASE SUMMARY: Claimant alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robbie Eason Claimant(s) vs. Capital First Securities Respondent(s) NOTICE OF ARBITRATION AWARD 89-00200 CASE SUMMARY Claimant Robbie Eason alleged that Respondent Capital First Securities made misrepresentations concerning unregistered stock. Respondent maintains that the Claimant failed to identify and join all parties necessary to complete dete

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Vartges V. Afrikian Claimant(s) vs. 89-00198 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vartges V. Afrikian alleged that Respondent(s) Wall Street Clearing Co. owes Claimant dividend payments for the period of March 15, 1988 through March 31, 1988 and the full month of April. Respondent(s) mai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dayle C. Sayler and Margaret L. Sayler Claimant(s) vs. 89-00197 Robert J. Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dayle C. Sayler and Margaret L. Sayler alleged that Respondent(s) Robert J. Miller committed unauthorized trading in Claimants' account held with Respondent. Respondent(s) denies Claimants' allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Theodore S. Mayer Claimant ) vs. ) AWARD ) Prudential-Bache Securities, Inc. Respondent ) CASE NO. 89-00195 and Laurence Lackaye ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 24, 1989. Claimant alleged that on July 6, 1988 he placed an order with Respondents to buy back his Sun

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Claimants si Jamie Townsend Albright 89-00191 NmieQfRgsppndgntfsl William Lozier and Painewebber, Jackson and Curtis CASE SOMMRT In a Statement of Claim filed with the NASD on January 24, 1989, Claimant Jamie Townsend Albright alleged the Respondent engaged in conduct as follows: 1. Entered into a position to exercise control ov