N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the "Matter of the Arbitration Between j^ Dave M. Linehan ) ) Case No. 90-00438 flaine_ of Respondent (s) ) Ricliard Wolff ) Robert Schlien ) Alan Stewart Beshany ) Heard before the Arbitrator; John B. Kelley, Esq. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on February 9, 1990. Claimant, Dave M.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Mattar of the Arbitration Between Lois Mdain 90-00435 Shearson Lehman Button, Inc. Richard Stroud William A. (Sandy) Abshire Claimant was represented by William C. Chevaillier, Esq., of Mysock & Chevaillier, Tulsa, Oklahoma. Respondents were represented by Jack D. Ball aid, Esq., of Hutcheson & Grundy, Houston, Texas. In a Statement of n*«* filed with the National Association o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ernest and Phyllis Bilhuber Claimant(s) vs. PaineWebber, Inc. and Frank Maselli Respondent(s) NOTICE OP ARBITRATION AWARD 90-00433 CASE SUMMARY Claimant(s) Ernest and Phyllis Bilhuber alleged that Respondent(s) PaineWebber, Inc. and Frank Maselli mismanaged Claimant's account and failed to follow instructions. Respondent PaineWebber, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Benway Claimant(s) vs. Wellshire Securities, Michael Howard and Joe Jenkins Respondent(s) NOTICE OF ARBITRATION AWARD 90-00431 CASE SUMMARY Claimant(s) Gary Benway alleged that Respondent(s) Wellshire Securities, Michael Howard and Joe Jenkins misrepresented the investment quality and return to be received on certain securities and mi

N.A.S.D. AWftRD NKTICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Azbitraticn Between nf Ttecdora S. Goldberg 90-00426 Name of RespqndiRn.'t(s) Oppenheimer & Co., Inc. Abbott Glaser Claimant alleged that she suffered excessive losses between October 16 and October 19, 1987 that were caused by excessive, unauthorized and negligent options trading engaged in by the Respondents. Claimant further alleged that the Respondents d

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John M. Baker Claimant(s) ARBITRATION vs. AWARD 90-00424 Travelers Equities Sales, Inc., Randy Logue and Keystone Investor Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) John M. Baker alleged that Respondent{s) Travelers Equities Sales, Inc., Randy Logue and Keystone Investor failed to disclose the deferred sales charge imposed on an investm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brett Saunders, Claimant v. A,G. Edwards & Sons, Inc,, and PaulNeuner, Respondents Case Number: 01-03269 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California Michael Naccarato, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tetter of the Arbitration Between Name of Robert & Cynthia Webb 90-00419 Name of PaineWebber, Inc. Anthony lascone Heard before: Philip Marshall, Esq. Public Arbitrator Janes G. Parker Public Arbitrator William Richardson Industry Arbitrator Claimants were represented by David C. Fielding, Esq. of Saperston 6 Day, P.C. Respondents were represented by Peter Byer, Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Drum Jr. 90-00417 Name qf Rppppndertt(s) Batsman Eichler,Hill Richards, Inc. Charles Southall StMMBRY CSP This case was filed with the National Association of Securities Dealers^ Inc. ("NASD") on May 2, 1990. Claimant John Drum, Jr. , (Drum) claims against Respondent Charles Southall (Southall), while employed with Respondent Bateman,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lillian 0. Lee Claimant * Case f90-00416 vs. Osborne, Stern & Co., Inc. * and Douglas Osborne * Respondent * CASE SUMMARY In an claim filed on February 8, 1990 r Claimant, Lillian O. Lee ("Claimant") alleged that Respondents, Osborne, Stern & Co., Inc. and Douglas Osborne ("Respondents') made material misrepresentations to Claimant in or