AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Aaron J. Stern and 01-03192 Southfield, Michigan American Express Financial Advisors, Inc. IDS Life Insurance Company of New York, IDS Financial Advisors, Inc., and American Express, and Dominic J. Sacca REPRESENTATION OF PARTIES Aaron J. Stern ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. American Express Financial Advisors,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert E. Bruflat Claimant(a) vs. Prudential-Bache Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD 88-00466 CASE SUMMARY Claimant(s) Robert E. Bruflat alleged that Respondent(s) Prudential-Bache Securities, Inc. mishandled his Individual Retirement Account that was opened through the Respondent. Respondent(s) deny any mishandling of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) OREXEL BURNHAM LAMBERT, INC. ) Claimant ) NASD NO. 88-00462 v. ) GARY HOUSTON j Respondent ) CASE SUWARY In a claim filed on February 8, 1988, and amended on April 12, 1989, the Claimant alleged that the decline in the value of securities in the Respondent's margin account resulted in an unsecured debit balance which Respondent has failed to pay. T

N.A.S.D. AWARD NRTICNAL ASSOdATICN OF SECCRTTIES DEALERS la the Matter of tbe Arbitration Between of ^^^l^t^•^ntB Joseph C. Oopelmvi Kathleen M. Annie Oop&I of A.G. Edwards 6 Sons, Inc. Timothy L. Colon - ; '992 90-00160 Claimants ware repreoentod by B. Keith Shake, Esq. of Henderson, Daily,, Wltbrcw & OeVoe, Indianapolis, IN. Respondent A. 6. Edwards & Sons, Inc. was repreoentod by William S. Port, Esq. of A. G. Edwa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Violetta R. Gamarra and Krishna Kumar Mundiath Claimant(s) vs. 90-00156 Marshall Davis, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Violetta R. Gamarra and Krishna Kumar Mundiath alleged that Respondent(s) Marshall Davis, Inc. misquoted the price of stock upon which Claimant relied upon not to sell. Respondent has

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In the Matter of Arbitration Between HAROLD H. OENSFORO v. Claimant NASD NO. 88-01190 ROBINSON HUMPHREY CO., INC. Respondent CASE SUHMARY In a claim filed with the NASD on April 14, 1988, Claimant Harold Densford ("Densford") alleged that on October 20, 1987 his entire securities portfolio was liquidated causing a loss in his account. Densford alleged this action was taken without aff

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Saunders Claimant(s) ARBITRATION vs. AWARD 88-01186 Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) William B. Saunders alleged that Respondent(s) Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek failed t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \ lie « I tw 3 I Joan and Randall Yearwood and Private Ledger Financial Services, Inc. and Janes H. Samuel Respondents ( s \ CASE SlflWARY In a claim filed with the NASD on or about April 14, 1988, Claimants Joan and Randall Yearwood ("the Yearwoods") alleged that Respondents Private Ledger Financial Services ("Private Ledger") and Jama

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Beatrice B. Toberman ) ) Claimant ) and ) A W A R D ) E.F. Mutton & Co., Inc.; ) 88-1178 Charles S. Aker ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on April 14, 1988, Claimant Beatrice Toberman ("Toberman") alleged that Respondents E.F. Hutton & Co., Inc. ("Hutton") and Charles Aker ("Aker") made unauthorize

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Florini Claimant (s~) vs. . _ . Brownstone Smith Securities Corporation and Paul F. Joyce Respondent(a) NOTICE OP ARBITRATION AWARD 88-01175 CASE SUMMARY Claimant James Florini alleged that Respondent Brownstone Smith Securities Corporation through Paul F. Joyce failed to execute the Claimants sell order of Thoroughbred Investments Inc.