NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Troy Lee Woody Claimant(a) vs. Shearson Lehman Hutton & Constance Combs Respondent(s) NOTICE OF ARBITRATION AWARD 88-03683 CASE SUMMARY Claimant(s) Troy Lee Woody alleged that Respondent(s) Shearson Lehman Hutton and Constance Combs misrepresented and failed to disclose material facts pertaining to Claimant's investment into Respondent's spons

HAT10MAL ASSOCIATION OF SECURITIES OEAUERS, INC. In the Matter of the Arbitration Between Paula Hlrschhorn Claimant vs. Robert Logan & Russell G. Heck Respondents Thomson McKinnon Securities, Inc. CASE MO. 38-03682 SUMMARY OF ISSUES This case was filed on November 28, 1988. Claimant Respondents breached their fiduciary duty to her by investing her funds 1n commodities futures through a strategy of Butterfly Spreads. Claimant further alleged

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert K. Masters, Claimant v. Cruttenden Roth, Inc., and Lawrence H. Butler, Jr., Respondents Case Number: 99-02374 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz, LLP Newport Beach, California For Respondent Cruttenden Roth, Inc.: John R. Loftus,Esq. Paul I. Hamada, Esq. Keesal, Young & Logan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. Westfall Claimant(a) VS. 88-03680 Merrill Lynch, Pierce, Farmer & Smith, Inc. Respondent(s) AWARD The Arbitrator, Gerald T. Grady, Jr., 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 November 22, 1988 and January

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Natter of the Arbitration Between Patricia A. and James H. Hall Claimants vs. Shearson Lehman Mutton, Inc., Respondent Case 188-03675 Award CASE SUMMARY Claimants allege that they informed Dean Blissman, a financial consultant with Shearson Lehman Mutton, Inc., that their investment objective was to ensure safety of principal and to receive monthly income in order to make mortga

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Vonk Claimant(s) vs. StockCross, Inc. Respondent(s} NOTICE OF ARBITRATION AWARD 88-03674 CASE SUMMARY Claimant(s) William J. Vonk alleged that Respondent(s) StockCross, Inc. breached the fiduciary duties owed by a broker to its customers, in particular, failure to exercise the necessary duty of care. Respondent(s) maintain that Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Philip F. Ellian & Jeanette N. Ellian Claimants vs. Kuhns Brothers & Laidlaw, Inc. Respondent Case #88-03672 AWARD CASE SUMMARY Claimants, Philip F. Ellian & Jeanette N. Ellian alleged that Respondent, Kuhns Brothers & Laidlaw, Inc. executed unauthorized options trades In their account and churned the account, also. Respondent did not file a Sta

NASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant:j^gj. Richard Horian 88-03671 Name of Respondent?s) Merrill Lynch, Pierce, Fenner & Smith Arnold Alson Arbitration National Association oi Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, New Yorfc 1000- For Claimant: Laurence Schultz, Esq. of Driggers, Schultz, Herbst & Pate

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eleanor Kochan Claimant(s) vs. 88-03670 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Eleanor Kochan alleged that Respondent Prudential-Bache Securities, Inc. misrepresented material facts to Claimant with respect to Claimant' s investment with Respondent. Respondent denies Claimant's allegat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAU2RS In the Matter of the Arbitration Between 1 a 1 ' Tnart 3 Gail, Mary and Edward J. MzElroy 88-03728 Name of Joseph P. McGivney and Associates, Inc. Steohen M. Poran CASE StMMRRY -CHICAGO ! I In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on December 5, 1988, Claimants Gail McElroy, Mary McElroy and Edward McElroy all