2 ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between ) ) PaineWebber, Inc. Claimant(s) vs. ) CASE NO. 87-02403 ) Gulf American Financial Services, Inc. ) ) Respondent(s) ) _ _ i Heard Before the Members of the Arbitration Panel: John A. Roberts John F. Cockburn Donald C. Douglas SUMMARY OF ISSUES The claim was filed February 26, 1988. Claimant alleged that between Septemb

Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD "Suite 1680 Three First National Plaza Chicago. IL 60602 (312) 899-4440 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Frank Sinacola & Ronald Ashburn / _ / 87-02371 ' / ' »- Name of Respondent^ '' ^ '950 Morrison McReown & Young, Inc. Roy Bengtsson In a claim filed on or about May 1

cA NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Eleanor Curtis Mix, ) Claimant. ) ) Case #87-02346 vs. ) Award ) E.F. Hutton & Co., Inc., ) Respondent. ) CASE SUMMARY This claim was filed with the NASD, Inc. on November 30, 1987. The hearing was conducted in Tampa, Florida, with a total of 3 sessions. Claimant, Eleanor Curtis Hix ("Hix") alleged that Respondent, E.F. Hutton & Co.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick and Sharon Chantler Claimant(s) vs. Dean Witter Reynolds and Jeffrey Turk CASE #87-02343 AWARD Respondent(s) Heard before the Members of the Arbitration Panel: Leonard Greenwold On May 12, 1989 the arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant(s) on September 2, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roberta Wbolbright 87-02341 Name of Reacoiident ( s ) BAP Management Corporation Thomas Boeder!. Paul Mathas Roberta Wbolbrignt was represented by Paul J. Susman, Esq., Chicago, rc*. In a Statement of Cl** m filed with the National Association of Securities Dealers, inc. ("NASD") on or ~about November 25, 1987, Roberta Woolbrigh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. vs. Steve and Helen Trimper vs. John Bogucz Harold Mathis Claimant Respondents AWARD #87-02333 Case Summary Claimant PaineWebber, Inc. alleged that due to the sudden decline in the market on or around October 19, 1987, Claimant was forced to liquidate Respondents' account without notice to Respondents which caused a debit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harold L. Adams and Dorothy M. Adams Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 87-02331 The undersigned, having been 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 19, 1987 and February 5, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arthur Tuckman & Carol Tuckman Claimants } vs. ) AWARD Kennedy, Cabot & Co., Inc., Respondents ) CASE NO. 87-02327 Patty Moore, and Jack Robertson ) SUMMARY OF ISSUES Claimants alleged that Respondents negligently and fraudulently failed to execute an order to sell short 1,300 shares of Syntex common stock. Claimants further alleged that Respondents misrepres

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. and Erin M. Groden Claimant(s) vs. 87-02324 Blinder, Robinson & Co., Inc. and Stan Webb Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants John J. and Erin M. Groden alleged that Respondents Blinder, Robinson & Co., Inc. and Stan Webb made an unauthorized transaction which resulted in a loss of $1,670.00. Respondents main

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janeice Hunt-Schmidt, (Claimant) vs. David Lerner and David Lerner Associates, Inc. (Respondents) Case Number: 01-02764 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Janeice Hunt-Schmidt, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Law Offices of Jenice L. Malecki, New York, NY. Respondents, David Lerner and David Lerner Associate