Arbitration 0 Niton* AttocMton of StcurtttM OMtor*. Inc. Or* East Browwd Boulevard N.A.S.D. AWARD R . Laudwdjfr. Florida 33301 (305) 522-7391 NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) of Susan L. Gibson ) ) Case No. 90-00324 Shearaon Lehman Mutton, Inc. Jbsephthal & Co., Inc. Peter GUbeon Heard before the Arbitrator: Mark C. Perry, Esq. Public This claim was initiated by

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and , 01-03263 Dallas, Texas Name of Respondent Thomas G. Winningham REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Deborah Howard, Esq., Raymond James & Associates, Inc., St Petersburg, FL. Thomas G. Winningham ("Respondent") did not appear. CASE INFORMATION Th

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Grace G. Reitano Claimant(s) vs. 90-00316 Pittock Financial Corp., Power Securities and RFC Clearing and Paying Agent Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Grace G. Reitano alleged that Respondent(s) Pittock Financial Corp., Power Securities and RFC Clearing and Paying Agent sold Claimant securities at artifici

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MALCOLM T. WEBRE AND BETTY ANN WE8RE ) ) Claimants ) and ) ) CASE NO. 88-01308 SHEARSON LEHMAN HUTTON, INC., successor ) to E. F. HUTTON AND COMPANY, INC., ) ROBERT COCKBURN AND JIM FEARNOW ) Respondents } CASE SUMMARY Malcolm T. Webre and Betty Ann Webre ("Claimants") alleged as follows: 1. Robert Cockburn, a registered representati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bernadette V. Rudolph Claimant vs. CASE NO. 88-01302 E.F. Hutton and Company. Inc. Respondents ) and Jerry William Burch ) SUWARY OF ISSUES Claimant filed this claim with the NASD on April 25, 1988 against E.F. Hutton and Company, Inc. and its account executive Jerry William Burch and alleged unsuitable securities transactions and breach of fiduciary duty.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wedbush Securities, Inc. Claimant vs. Constance L. Critelli Respondent CASE NO. 88-01296 SUMMARY OF ISSUES Claimant filed this claim with the NASD on April 22, 1988 for recovery of an unsecured debit balance. Claimant alleged that in February, 1987 the equity in Respondent's account fell below minimum NYSE equity requirements; that Respondent failed to prov

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tiie Matter of Arbitration Between) ) JON IJ , 'ttlOLLE, MARY KNOLLE, SCIPHHEST ) WOMEN'S CLINIC et al. ) Claimants v. PAI^B'EBBER, INC. PETER SPERLING, KEN SPERLING Respondent; NASD NO. 88-01293 CASE SMEARY Jon W. Knolle, Mary Anne Knolle, Southwest Women's Club Clinic Retirement Fund, and Southwest Women's Clinic Pension Fund (collectively referred to herein as "Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Eric Mitkus vs. Claimant CASE *88-01290 AWARD Bear, Stearns & Co., Inc. Loren Ben Respondents CASE SUMMARY Claimant, Eric Mitkus, alleges in his four-count Statement of Claim that Respondents Bear, Stearns & Co., Inc. and Loren Ben violated Section lOb of the Securities Exchange Act and Rule 10b-5, promulgated thereunder, by recommending that Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas and Lulu Kavouras, Claimants vs. Rocky Mountain Securities and Investments, Inc. and Arthur Kaufman, Respondents Case 188-01288 Award On May 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Thomas and Lulu Kavouras, on April 18, 1988, and by Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Among Lynda S. Behrins and * Kenneth R. Behrins * Case #88-01280 Award Claimants * vs. * Merrill Lynch, Pierce Fenner & Smith * Marcel Wagner * Gerard McDavitt * and Dee Pak Raj * Respondents * _______—____—__-._—____..___.._.._____..___..____—___ * CASE SUMMARY Claimants, Lynda S. and Kenneth R. Behrins alleged that Respondents Merr