NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RUAN SECURITIES CORPORATION, ) Claimant/Counter ) Respondent, ) Case #87-02444 vs. ) Award SCHEINGARTEN FAMILY INVESTMENT TRUST, ) Respondent/Counter Claimant/ ) Third Party Claimant, } vs. ) JOHN N. MURPHY, HARRY SCHILLER, and ) TIMER DIGEST, INC., ) Third Party Respondents. ) Heard before the members of the Arbitration Panel: Richard

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) PAINEWEBBER, INC. ) Claimant ) and ) ) CASE NO. 87-02434 ) R. C. HANSEN ) ) Respondent ) CASE SUMMARY PaineHebber, Inc. ("Claimant") alleged that R. C. Hansen ("Respondent") is indebted to the Claimant for the debit balance which exists in the Respondent's account. Respondent denied the claim and further alleged a counterclaim as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Suzanne Karres and ) Timothy J. Markus Claimant(s) ) ) AWARD vs. ) CASE NO. 87-02251 Bateman Eichler, Hill Richards, Inc., Timothy Tunney, and PaincHcbber, Inc. Respondent(s) ) PaineWebber, Inc. Counterclaimant ) vs. ) Suzanne Karres and Counter- ) Timothy J. Markus Respondents ) SUWARY OF ISSUES The case was filed on November 17,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Barile Claimant(s) vs. 87-02157 Robert H. Joyce Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William J. Barile alleged that Respondent(s) Robert H. Joyce withheld stock certificates. Respondent(s) maintains that he was improperly named as a Respondent in this dispute. RELIEF REQUESTED Claimant(s) William J. Bar

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fred H. Brady Claimant vs. Diversified Equities Corp. and Arthur Goldstein Respondents AWARD 187 02107 Case Summary Claimant, Fred H. Brady ("Claimant") alleged th*t Respondents, Diversified Equities Corp. and Arthur Goldstein ("Respondents") failed to follow the NASD's "Suitability Rule" in handling Claimant's account. Claimant alleged that R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Seth and Mary Sargent Claimant(s) vs. 87-02104 Blinder, Robinson & Co., Inc., Compagnie Equities, Ltd., Glen J. McKie, et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Seth and Mary Sargent alleged that Respondents) Blinder, Robinson & Co., Inc., Compagnie Equities, Ltd., Glen J. McKie, et al did not disclose material i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eugenia & R. Mclntyre Bridges, M.D. 87-02070 Mane of espondent; si Phillips, Appel & Walden, Ire. and Richard Stoyeck / J- ° CT 5fiS0 J '- *•-.«. R. Mclntyre Bridges, M.D. and Eugenia Bridges ("ClaimantsTail«gB54.that Richard Stoyeck, a registered representative of Phillips, Appel & Walden, Inc. (Stoyeck and Phillips

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles W. Fertig Claimant(s) vs. Morton Markley and Bowman Financial Services, Inc. Respondents) AWARD 87-02429 The Arbitrator, Janet Weiss, 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 November 11, 1987 and February

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between7 Dan Montgomery Claimant ) Award ) NASD *87-02407 vs. ) Freeman Welwood * Co., and Respondents Piper, Jaffray & Hopwood, Inc. SUWARY OF ISSUES The claim in this matter was filed December 2, 1987. Claimant alleged that Respondents violated section 65 of the NASD Uniform Practice Code by failing to transfer shares of Copytele from Freeman Welwood to P

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02765 UBS PaineWebber, Inc. Names of the Respondents Hearing Site: New Orleans, LA Joey S. Stone and Dean Witter Reynolds Inc. d/b/a Morgan Stanley DW, Inc. REPRESENTATION OF PARTIES For UBS PaineWebber, Inc., hereinafter referred to as "Claimant": L. Andrew Brehm, Esq., Schuyler, Roche & /wirner, Chicago, IL, and George Freeman, Esq., Stone, Pigman, Walther, W