NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack and Terry Grauer, Claimant, vs. Neil Greenspan and Drexel Burnham Lambert, Inc., Respondent, Case 188-03428 Award Heard before the members of the Arbitration Panel: Anthony J. Titone, Esq. Ms. Virginia Rhyne Mr. Ralph M. Byer CASE SUMMARY This claim was filed with the NASD, Inc. on November 3, 1988. The hearing was conducted in

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert E. Armstead Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-3424 Fidelity Brokerage Services & Susan E. Hardin Respondent(a) The Arbitrator/ John H.L. Estrange/ Jr., Esq./ selected to review and determine a natter in controversy between the above- mentioned Claimant and Respondents/ set forth in a submission to arbitration signed by the part

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Limansky, M.D. Claimant ) vs. ) Shearson Lehman Hutton, Inc. Respondent ) ) AWARD CASE NO. 88-03423 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 11, 1989. Claimant Raymond Limansky, M.D. alleges that Respondent Shearson Lehman Hutton, Inc. solicited the purchase of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) FRED FRALEY and Claimant(s) THOMSON MCKINNON SECURITIES, INC. AND BROOKS MARTIN Respondents CASE NO. 88-03417 CASE SUMMARY Fred Fraley ("Claimant") alleged that Thomson-McKinnon Securities and its registered representative Brooks Martin (Thomson-McKinnon and Martin are collectively referred to herein as "Respondents"): 1) Misrepresented the ri

Region.Xr -a NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) STEVEN F, & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON, BENJAMIN T. PO., H.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER and PAINEWEBBER, INC. Claimants CASE NO. 88-03407 88-03414 88-03405 88-03392 ."- 88^03391 88-0~338a. Respondent CASE SUMMARY In claims filed with the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) William K. & Christine C. Veach and Aaron C. Veach 88-03371 Name of Respondentis) Blinder Robinson & Co., Inc. Larry Shedarck Aforigho QQJ £ I9SC CASE SMART In a Statement of Claim filed with the NASD on November 1, 1988, Claimants William K. Veach, Christine C. Veach and Aaron C. Veach alleged that Respondents engag

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gruntal&Co., L.L.C. Case No. 99-02509 ~ Name of Respondent Matthew D. Galvin Hearing Location: Boston, MA REPRESENTATION OF PARTIES Claimant, Gruntal & Co., L.L.C. ("Claimant") was represented by Nancy I. Blueweiss, Counselor at Law, Boston, MA. Respondent, Matthew D. Galvin ("Respondent*") was represented by Grover S. Parnell, Jr., Esq. of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard R. and Beverly A. Van Damme Claimant(s) vs 88-03370 The Stuart James Co. Respondent(s) AWARD The Arbitrator, Leo B. Rotter, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on October 25, 1988 and November 29, 1988,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wagner Family Trust, Caymus Vineyards, Inc. Profit Sharing Plan and Trust and Caymus Vineyards, Inc. Pension Plan and Trust vs. Smith Barney, Harris Upham & Co., Inc. and Richard Grace ) Claimants ) ) vs. Smith Barney, Harris Upham & Co., Inc. and Richard Grace Respondents ) ) In the Matter of the Arbitration Between

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Margot M. Roberts and Debrah C. Herman, Claimants vs. Case #88-03360 Award Smith Barney, Harris Upham & Co., Inc., and Edward L. Diener, Respondents ) ) CASE SUMMARY Claimants allege that the highly leveraged trading in their accounts of U.S. Treasury Bonds was unsuitable, excessive and unauthorized. Claimants further allege that Edw