NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jouko J. Rissanen Claimant ) Case #87-01404 vs - ) Award Bear Stearns & Co. ) and Respondents ) Samuel R. Shapiro ] On March 15, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Jouko J. Rissanen and by Respondents Beams & Co., Inc. and Samuel R. Shapiro.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claimant(s) Razia Sanriullah and T.S. Sharieff vs. Majestic Securities, Inc., Hedbush Noble Cooke Inc., and Tony Ashraf Respondent(s) AWARD CASE NO. 87-01323 SUMMARY OF ISSUES This case was filed on August 31, 1987. Claimants alleged the following: They opened an account with Respondent Majestic Securities, Inc. (Majestic) on May 4, 1987

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James J. Hayes Claimant Award vs. #87-01301 Voss & Co., Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on July 13, 1987 and September 23, 1987,respectively; And, having revie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alice Kohler Claimant vs. ) CASE NO. 87-01296 Guidcor Financial, Inc. Respondents Stephen Smith Heard before: Alexandra Kwoka William Newsome Lee Swiff SUWARY OF ISSUES This case was filed on August 20, 1987. Claimant alleged Respondents invested her funds in a series of speculative index options and common stock transactions which were unsuitab

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Gregory Spencer, vs. Charles Schwab and Co., Inc., Claimant. Respondent. Case /87-01282 Award Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Sam Giunta, Esq. Joseph G. Lananna CASE SUMMARY This claim was filed with the NASD, Inc. on July 15, 1987. The hearing was conducted in Tampa with a total of six sessions. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Lawrence D. Crowder } Claimant and ) A W A R D Roney & Co.; E.F. Hutton & Company and ) 87-01271 John Tomlinson Respondent On Tuesday, May 2, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on June 1, 1988 by Claimant Lawrence D. Crowder, on Septem

NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between V «> M —. • V « —««»—«•—» — ™— •"••••™*™«*-*»«*"»»»«W«»^«»«»»™»»» — — ,,^^• »*•»• ^ • •• • • 1 TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. DENNIS DOBES, Claimant. vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, Respondents.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, STEPHEN and KIM LUMLEY, vs. PRUDENTIAL-BACHE SECURITIES. INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. »»•••••*•»•«..•.•,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER. STEPHEN and KIM LUMLEY, vs. PRUDENTIAL-BACHE SECURITIES. INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. Claimant, Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lois A. Hollis C/F Angel E., Alicia G., and Andrianna M. Hollis UGMAVA Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Roland J. Pennell Respondent(s) NOTICE OF ARBITRATION AWARD 87-01245 CASE SUMMARY Claimant (s) Lois A. Hollis C/F Angel E., Alicia 6., and Andrianna M. Hollis UGMAVA alleged that Respondent(s) vs. Merrill L