NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In'the Matter or the Arbitration Between ) ) RICHARD S. NEWTON ) ) Claimant ) and ) ) CASE NO. 88-03329 WILLIAM M. SWAYNE II, LAWRENCE J. ) SYMONOS, BRUCE R. JOLLIFF, UNITED ) INVESTMENT SECURITIES, INC. AND ) SOURCE SECURITIES, INC. ) ) Respondents ) CASE SUMMARY Richard S. Newton ("Claimant") alleged that William M. Swayne, II, Lawrence J. Symonds, L. Bruce Jolliff, U

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Howard E. and Eloise P. Wymer vs. John Michael Sabo Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03328 CASE SUMMARY Claimant Howard E. and Eloise P. Wymer alleged that Respondent John Michael Sabo through deceptive trade practices and through misrepresentation enduced Claimants to purchase shares of stock through Respondent firm. Addit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) VIOLET UPRIGHT PECK, ) Claimant, ) ) Case 188-03327 vs. ) Award MERRILL LYNCH, PIERCE, FENNER & SMITH. INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Harry Polansky Anthony S. Paetro, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on October 26, 1988. The hearing was conducted

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SZCJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's ) Sidney Marcus " 88-03325 of Resondent s \ E.F. Hutton, new known as Shearson Lehman Hutton, Inc. Alan M. Vfeiss and Charles Eldanire CASE In a Statement of Claim initially filed with the NASD on or about October 26, 1988 and amended thereafter by a first, second and third amended claim, Claimant Sidney .Marcus, ("Ma

Arbitration Vt JL C T\ ftTj-TH ^tA — i *"' ii *' National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1680 Three First National Plaza Chicago, IL 60602 • (312) 899-4440 In the Matter of the Arbitration Between Name of Claimantss\ James A. and LaVonne Shirley Nelson 88-03324 Name of ResPQndfilTt (B) Smith Barney Harris Upham & Co., Inc. Gary Heller CASE SMART

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eric D. Jacobson Claimant(s) vs. 88-03317 Stoneridge Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eric D. Jacobson alleged that Respondent(s) Stoneridge Securities negligently mishandled Claimant's account held with Respondent. Respondent(s) has not answered claim. RELIEF REQUESTED Claimant(s) Eric D. Jacob

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J, Morrison vs. Hostel & Taylor Securities, Inc. Claimant AWARD Respondent CASE #88-03314 CASE SUMMARY Claimant Robert J. Morrison ("Morrison") alleges that an employee, Leonard Osser, of Respondent Mostel & Taylor Securities, Inc. ("Hostel") in his capacity as a representative of Mostel solicited Morrison to purchase share of.Geri-Care,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Arlene Vonnegut Claimant ) vs. ) AWARD First Affiliated Securities, Inc. Respondents ) CASE NO. 88-03313 and William Morgan ) SUMMARY OF ISSUES This case was filed on October 25, 1988. Claimant alleged that Respondents violated the suitability rules by investing her funds in high risk, speculative stocks, trading options, and opening a margin account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Eric and Miyoko Kaufman Claimant ) AWARD CASE #88-03311 vs. PaineWebber, Inc. Respondents and Herbert Wo Her SUWARY OF ISSUES This case was filed on January 25, 1988. Claimants opened an account with Respondents into which they deposited $20,000.00. The funds were used to purchase bonds on margin. Subsequent to the initial deposit, Claimants deposited $245,000.00, which represented the bal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. BSfC« CASE: 99-02497 Olde Discount Corporation, claimant vs. David Chester, respondent. ATTORNEYS; For Claimant Olde Discount Corporation* Aaron L. Kleid, Esq., attorney for Olde Discount Corporation, Detroit, Michigan. Respondent David Chester, did not respond to the Statement of Claim, DATE FILED; 06/01/1999 CASE SUMMARY: Claimant alleged that on March 3, 1998, Respon