N.A.S.D^AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Attra Claimant 90-00190 and Dean Witter Reynolds, Inc., Oppanheiiner & CO., and Ken Haiti Claimant was represented by Dennis Taylor of Riddle & Associates, Houston, Texas. Respondents Dean Witter and Kan. Harb were represented by Curt Maeller of Dean Witter Reynolds, Inc., San Francisco, California. Respondent Oppenheimar and Co., Inc. was re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Jeffrey & Luanne Corcoran 90-00183 Nape of Respondent^ s ) Olde Discount Corporation In a Statement of Claim filed with the NASD on January 16, 1990, Claimants Jeffrey and Luanne Corcoran alleged that Respondent mishandled a stock sale by selling the same 500 shares of stock they owned in H&R Block, Inc. twice. Furthermore, Claimants a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beth K. Segal Claimants) vs. 90-00188 Jeff Welsh, Shearson Lehman Hutton, Inc. and Jim Harrington Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Beth K. Segal alleged that Respondent(s) Jeff Welsh, Shearson Lehman Hutton, Inc. and Jim Harrington engaged in churning, misrepresentations, and made unsuitable recommendations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00184 Bagley Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John L. Barron alleged that Respondent(s) Bagley Securities, Inc. sold to Claimant securities which were not registered for sale in Claimant's state of residence, failed to provide a prospectus, misrepresented the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfctter of the Arbitration Between Name o Mary H. Sullivan 90-00182 A.G. Edwards & Sons, Inc. Richard lannocone Heard before: Name Public/Industry Cornelius j. McAuliffe, Esq. Public Arbitrator Simon J. Tager Public Arbitrator William Aziz Industry Arbitrator Claimant was represented by Marjorie Schaffner, Esq. of Beigel & Sandier, Ltd. in Chicago, Illinois. Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between and Among REUBEN L. AND DONNA L. LYCANS, Claimants, Case No. 90-00170 vs. ADVEST, INC., LAWRENCE CORNA AND BOB FOX, Respondents. AWARD Case Summary Claimants Reuben L. and Donna L. Lycans ("Claimants") alleged that Respondent Lawrence Corna ("Corna") made material misrepresentations to induce them to purchase Putnam High Income Governmen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS : " " *• ' ' ' ••». WC In the Matter of the Arbitration Between Rosenary Mathers & Darlene Amlotte J | __ iL^x 90-00169 :R --""-ATlON-CK!CACG Piper, Jeff ray & Hc^viood, Inc. CASE SUMMARY In a Statement of Claim filed with the NASD on or about January 16, 1990, Rosemary Mathers and Darlene Amlotte (collectively "Claimants") alleged that Piper Jaffray an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mildred W. Galligan Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Gingras Michael A. Ehrlich Respondents AWARD #88-00691 Case Summary Claimant Mildred W. Galligan (hereinafter "Claimant") alleged that she was fraudulently induced to open an account at Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. (hereinafter "Merrill

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony F. Hernandez Clairaant(s) vs. The Jamesen Group, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00687 The Arbitrator, Prudence W. Baldwin, 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 February 26, 1988 and Augu

NATIONAL ASSOCIATION fjr 'JECURITIES DEALERS In I he Matter of the Arbitration Between Louise M. Hamer vs. Claimant Michael Cook Respondent Award #88-00665 The undersigned, being the Arbitrator selected to review and determine a matter in controversy betwppn Hie above-mentioned Claimant and Respondent, set forth in submissions to ;trl>itration signed by the parties on March 31, 1988 and May 11, 1989, respectively; And, having reviewe