NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Charles J. and Loretta M. Mattas Claimant(s) vs. 88-01035 Bull & Bear Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Charles J. and Loretta M. Mattas alleged that Respondent Bull & Bear Securities made adjustments & confirmations of their switch activity because of incorrect prices without their consent. Respondents

f NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Matter of the Arbitration Between Ralph J. Thurner #88-01034 Claimant(s) vs. Mosely Securities Corporation Respondent(s) AWARD The undersigned being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to Arbitration signed by the Claimant on March 26, 1988 and June 23, 1988, resp

HATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) DOROTHY B. JESSEE Claimant v. EDWARD D. JONES & CO., INC. ) Respondent ) NASD No. 88-01032 CASE SUWARY Claimant Dorothy B. Jessee ("Jessee") alleged that the Respondent Edward D. Jones ("Jones") engaged in the following: 1. Misrepresented or failed to state certain material facts regarding the risks and other terms of the Petro Lewis and NRM Oil an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Steven Katz and Rebecca Katz, individually and on behalf of ABC Print Frame Limited Inc. Target Benefit Trust v. 01-03229 Denver, Colorado Respondents Montrose Capital Management, LTD. Michael E. Wallace, Marshall I. Baron, John David Telfer, Michael B. Ajzenman, Arthur Goldberg, David R. Jacaruso, Joseph M. Scotti, Craig S. Scotti, Steven Rabinovici

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ernst and Company vs. George Pomerantz vs. Claimant Respondent Wall Street Discount Corporation and John Does 1 through 10 Third-Party Respondents CASE #88-01025 AWARD CASE SUMMARY In a claim filed at the National Association of Securities Dealers, Inc. on March 30, 1988 Claimant Ernst and Company alleged Respondent George Pomerantz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Michigan Business Systems, Inc. ) Claimants ) and ) A W A R D ) 88-1024 Merrill Lynch Pierce Fenner & Smith, Inc.; > David F. Winkler ) Respondents ) CASE SUMMARY Michigan Business Machines, Inc. ("Claimant") alleged the following: 1. Merrill Lynch Pierce Fenner & Smith, Inc. and David F. Winkler (Merrill Lynch and Winkler are collect

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth R. Corn vs. Prudential Bache Securities, Inc. David C. Saalfrank Eric A. Wachter Joseph H. Ellershaw Philip Ceravole Claimant Respondents CASE #88-01018 AWARD CASE SUMMARY In a claim filed by Kenneth R. Com on March 30, 1988, Claimant alleged that Respondents Eric A. Wachter ("Wachter"), Prudential Bache Securities, Inc. ("Pr

Arbitration National Affectation of Securities Dealers, inc. NASO Financial Canter NATIONAL ASSOCIATION OF SECURITIES DEALERS, 3}J|(ji^ehall StrMt New York, Now York 10004 In the Matter of the Arbitration Between Frank J. Ryan and Evelyn M. Ryan Claimants vs. Case 88-01017 AWARD Liss, Tenner & Goldberg Securities, Matthew Boardiaan, G. Robert Abrams Respondents » CASE SUMMARY Claimants allege Respondents made misrepre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) i Evelyn & Kenneth Dougherty Claimants i AWARD vs. ) ) MASD =88-01015 Kennedy Cabot & Company ) Securities Settlement Corporation ) Putnam Financial Services, Inc. ) State Street Bank & Trust Company ) Respondents ) REPRESENTATION Claimants were represented at hearing only by Seth Isaacs. Respondents , Kennedy Cabot and Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bobby L. and Debra J. Thotnason Claimants vs. Blinder, Robinson & Co., Inc. Dan Rosen Brian Sengson Respondents AWARD #88-01014 Case Summary Claimants Bobby L. and Debra J. Thomason ("Thomasons") claims against Respondents Blinder, Robinson & Co., Inc. ("Blinder"), Dan Rosen ("Rosen") and Brian Sengson ("Sengson") arise from the offer and sale of