NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Eloise Gretz vs . First of Philadelphia Investment and Andrew Dougherty Between Claimant Group, Respondents X X X X X X X X X X X • x CASE NO. 90-00499 AWARD CASE SUMMARY Claimant, Eloise Gretz ("Gretz"), alleged that the • Respondents, Andrew Dougherty ("Dougherty") and First of Philadelph

PUBLIC N.A.S.D. AWMOD NATIONAL ASSOCIATION OF SBCDRITTES DEALERS ~ In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New Vork. N.Y. 100O4 FAX (212} 858-4389 Marvin M. Tanaroff , individually and. as Trustee 90-00497 Merrill Lynch Pierce Fanner & Smith Inc Robert F. Sui For Claimant: Anthony V. Trogan, Esq. of Weianan, Ttogan, Young &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin and Anne Shaha Claimant(s) vs. 90-00496 J.C. Bradford & Co. and Rick Lutz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kevin and Anne Shaha alleged that Respondent(s) J.C. Bradford & Co. and Rick Lutz failed to execute a sell order by Claimant in response to a margin call. Respondent J.C. Bradford & Co. denied t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD #90-00493 DANIEL & SHARON TRIPODI CLAIMANTS V. O.H. BLAIR & CO., INC. RESPONDENT CASE SUMMARY The Statement of Claim was filed on February 15, 1990. Claimants, Daniel and Sharon Tripodi alleged that their account: was mishandled by Respondent, D.H. Blair & Co., Inc., in that their mailing address was changed without their permission -and. this resulted in misdelivery of reports a

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Mai Symon Case #90-00483 Claimant AWARD vs. International Assets Advisory Corp. Raymond Pena, Jr. Respondents CASE SUMMARY Claimant Mai Symon alleged that she instructed Respondent Raymond Pena, Jr. {"Pena"), an employee of Respondent International Assets Advisory Corp. ("IAAC"), to sell her shares of America's All Season Fund (the "Fund") and t

Award NASD Dispute Resolution In the Matter of the Arbitration ^Between: Richard McLaughlin & Susan McLaughlin et al vs. Stock USA, Inc., Computer Clearing Services, Inc., et al Case Number: 99-03998 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Helen M. Yucka \ ''' Helen M. Yucka Declaration of Trust Richard and Susan McLaughlin For Respondents: Stock USA, Inc. Ralph O. Mann Computer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John C. Gambrell Claimant(s) vs. Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00480 CASE SUMMARY Clairaant(s) John C. Gambrell alleged that Respondent(s) Shearson Lehman Hutton, Inc. created a customer account without authorization and refused to deliver certain securities purchased by Claimant. Respondent did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marcia Churchill Claimant(s) vs . 90-00477 Shearson Lehman Brothers, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marcia Churchill alleged that Respondent(s) Shearson Lehman Brothers, Inc. misrepresented material facts about an investment that was unsuitable for the Claimant. Respondent denies Claimant's alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. THEODORA JARSHOWER & JACQUELINE KLINE CLAIMANTS V. PAINEWEBBER, INC., PETER BARONE AND ROBERT A. COHEN RESPONDENTS AWARD #00-00476 CASK SUMMARY The Statement of Claim was filed on February 14, 1990. Claimants, Theodora Jarshower and Jacqueline Kline alleged that Respondents, PaineWebber, Inc., Peter Barone and Robert A. Cohen invested their funds in securities that were unsuitable

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Magnani Claimant(s) vs. Michael Jones and Robert Harvey Respondent(s) NOTICE OF ARBITRATION AWARD 90-00472 CASE SUMMARY Claimant(s) Richard Magnani alleged that Respondent(s) Michael Jones engaged in unauthorized trading and that Robert Harvey failed to supervise properly. Respondent(s) did not answer. RELIEF REQUESTED Claimant