NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } Harris and'Colleen Beckman Claimant(s) ) ) AWARD vs. ) CASE NO. 88-03005 Greentree Securities, Inc., and ) James Goldberg Respondent(s) ) SUrittRY OF ISSUES This case was filed on September 26, 1988. Claimants allege that Greentree Securities and its employee, James Goldberg, solicited purchases of OTC securities from them without disclosing the risks

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of The Arbitration Between.} Nancy Friedt ) Claimant(s) ) vs. ) CASE #88-03003 Shearson Lehman Hutton, Inc. ) AWARD Respondent(s) ) SUMMARY OF ISSUES This case was filed on September 22, 1988. On August 31, 1987, Claimant, (Friedt) purchased 2000 shares of Epitope Inc. in her account which was maintained by Respondent (Shearson). On September 1, 1987, she purchased an additional

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RacheUe Levine, } Claimant ) Case #88-03801 vs. ) Award Blinder, Robinson, Inc., ) Respondent } CASE SUMMARY Claimant alleges that in October 1983 she instructed her broker to transfer 600 shares of Isuzu Motors from her account with Respondent to her account with Pacific Brokerage. Claimant further alleges that in February 1988. she realized th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Philip L. Wright, Individually Claimant and as Surviving Joint Tenant of Margaret H. Wright vs. Shearson Lehman Brothers and Alan Saretsky ) Respondents ) / AWARD CASE NO. 88-03798 SUMMARY OF ISSUES This case was filed on December 12, 1988. Claimant alleged that Respondents breached their duty of due diligence to learn the essential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of^the Arbitration Between of Claimantfs McDonnell Douglas Capital Corporation 88-03793 Name of Respondent (5) ..,- 1 JQQI Southmark Financial Services, Inc. _ :WION-CH!CAGO In a Claim filed with the National Association of Securities Dealers, Inc. {"NASD") on or about December 9, 1988, Claimant McDonnell Douglas Capital Corporation ("McDonnell Douglas") alleged that Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay & Jocelyn Alvarez Claimants vs. AWARD #88-03786 Philips Appel & Walden, Inc. Stanley M. Dicker Respondents Case Summary Claimants Jay and Jocelyn Alvarez (hereinafter "Claimants") alleged that Respondent Stanley M. Dicker (hereinafter "Dicker") placed Claimants into unsuitable investments and alleged that Dicker churned Claimants' account. Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kelvin W. Mills and Carrie A. Mills Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03784 CASE SUMMARY Claimant(3) Melvin W, Mills and Carrie A. Mills alleged that Respondents) Merrill Lynch, Pierce-, Fenner & Smith, Inc. negligently mishandled Claimants' account held with Respondent.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. The Pinnacle Group, Inc. Claimant v. J. Rutledge Lawson, Caroline B. Lawson, Geoffrey A. Lawson, G.L.H. Properties, William D. Gilmore, Jr. James W. Hayes, Respondents v. The Robinson-Humphrey Company - Inc., Shearson Lehman Brothers, Inc., Lee A. Folger, III Third-Party Respondents A.W.A.R.D #88-03782 CASE SUMMARY The Statement of Claim was filac. on December 8

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John (Giovanni) Granata, (Claimant) vs. The Prudential Insurance Company of America, Pruco Securities Corporation, and Joseph Gebbia (Respondents) Case Number: 99-02446 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, John (Giovanni) Granata ("Granata"), hereinafter referred to as "Claimant": Edward F. Broderick, Jr., Esq., Monistown, NJ. Respondents, The Pru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth W. Derr Wilbur Derr Thomas L. Derr Claimants vs. Blinder Robinson & Co., Inc. Aaron Brown Respondents CASE #88-03777 AWARD CASE SUWARY / Claimants Kenneth W. Derr, Thomas L. Oerr and Wilbur Derr (collectively, the "Claimants") alleged that the Respondent Aaron Brown made various misrepresentations as to the value and nature of th