NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louise Avallone Claimant vs. Gordon Scott Venters Respondent Case #50-02453 AWARD CASE SUMMARY Louise Avallone, in a claim filed with the National Association of Securities Dealers, Inc'. on September 5, 1990, alleged that Respondent and broker, Gordon Scott Venters, made unsuitable recommendations of high risk investments. She states that s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerry Kwait Claimant vs. roe Blasi Respondent CASE #90-02450 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 5, 1990, Claimant Jerry Kwait, who appeared Pro Se, alleged that Respondent Joe Blasi failed to follow Claimants instructions to sell 5,000 shares of C.M. Communications, Inc.

N,A*S*D. JWRRD ASSOdATION OP SECURITIES In the Matter of the AEbitration Between Clara D. Alters 90-02448 Nans nf ttogm riant Eppler, Quarin & Turner, Inc. Wayne Bar Claimant *""**[ra D. Altars* Susan R. Schrag, Esq. and Roger Theis, Esq. of the Law Offices of Harris, laing, Evans, Bcock & Kennedy, Wichita, Kansas. Par mHi.-m.lnnt Egpler, Gaedn & Tarner, inc.: William D. Sin*, Jr., Esq. and Stephen E. ftoc. Bag. of Jenkins & GLLchriflt, Dall

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between Name of riaimant-. H. Loeb Corporation vs Name of Oppenheimer & Co . , Inc , Robert W. Reidy For Claimant: Richard M. Geib r Esq. of Geib & Gelb. For Respondents: Eugene L. Snail, Esq., in-house counsel, National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Grand Knitting Mills, Inc. 90-02445 Name of Respondents. Shearson. Ijahman Hutton, Inc. Harold May For Claimant: Harvard Gilbert, Chairman of Grand Knitting Mills, Inc. appeared pro se. * For Respondents: MaryEllen O'DJptscoll, Esq., in-house counsel. Statement of Claim filed: September 04, 1990. Claimant's Submiss

ITPPTI Ct \-O \ 1 C K*A.S.D. AWARD OF ttae Mattqr of the Arbitration Bataaas of aad Jane C. Payne 30-02444 Karoo of Respondents Cfcpenbetaar & Co. f Lac., Batanan Eichler r Hlll RicSardSrlnc., aod Jdhn Boatty, Jt. Claimants/ ^ayygr^ "T** June Pay&s were represented by Roger E. J*€DOfi f Esq. of dome, Soott & Bryant, Cleveland, Tfcop Eeepanden.t, Qcpeaheixost ft Oo», Xaa* WAS represented by John T. MaGuire, Esq

PUBLIC N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name Of Bd Kali Tin sin 90-02442 Name of Respondents Shearson T^frman Brothers, Inc. Edgar Fitzsionons For Claimant: Rachel Kerdman, Esq. of Joelson ^"^ Rochkind. For Respondents: Paul R. Williams, Esq. of gfrirfra^f Williams £ Pavone. case Statement of cna-i™ filed: August 31. 1990. Claimant Ed Kalimian's { "dainant" ) Suta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ellen L. Wells ) Claimant ) ) AWARD vs. ) ) NASD #90-02441 Dean Witter Reynolds, Inc. ) Darryl A. Bolstad ) Respondents ) ____ _) SUMMARY OF ISSUES Claimant alleged misrepresentation, failure to disclose commissions, and investment recommendations which were not suitable for her financial status and investment objectives-with

N.A.S.D. AWARD *~" NATIONAL ASSOCIATION OF SECURITIES DEALERS'/ In the Matter of the Arbitration Between , Merrill Lynch, Pierce, Fenner & Smith Inc. Claimant Paul Van Meter Respondent REPRESEMTATIQH OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. was represented by Jean Frizzell, Esq., of Gibbs and Ratiff r Houston, Texas. Respondent Paul Van Meter appeared pro s_e. CASE SUMMARY In a Statement of Claim filed w

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04857 Apple Valley Development Corporation Name of the Respondent Hearing Site: Tampa, FL Scottsdale Securities, Inc. REPRESENTATION OF PARTIES For Apple Valley Development Corporation, hereinafter referred to as "Claimant": Christopher W. Wickersham, Sr., Esq., Wickersham & Bowers, Daytona Beach, FL. For Scottsdale Securities, Inc. ("Scottsdale"), hereinaf