NATIONAL ASSOCIATION OF oECUHJTIJ^ DEALERS, INC. CASE 90-00575 AWARD In the Matter of the Arbitration Between Roland T. Dorl Claimant vs. J, P. Morgan Securities, Inc. Respondent CASE SUMMARY Claimant alleges Respondent was Late in making dividend payments; made errors and mishandled International Depository Receipt transactions. Respondent contends that the threshold jurisdictional requirement is not met in this case as Mr. Dorl did

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard Eskin and Corrine J. Eskin Claimant(s) vs. 90-00571 USAA Investment Management Co. and USAA Transfer Agency Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Leonard Eskin and Corrine J. Eskin alleged that Respondent(s) USAA Investment Management Co. and USAA Transfer Agency Co. failed to follow Claimants' inst

. V T.A.S.D. .AWARD NATICNAL ASSOCIATION OF SSCORITISS DEALERS la the totter or the Arbitration Between Of Hose N. Carter, Trustee of the Rose N. Carter Revocable Living Trust 90-00567 Q£ Stifel Nicolaus & Cozpany, Inc. and Arthur Olson KKMOSatflfTATH H For dainant: Margaret M. MDoney, Esq. of Lashley & Baer, St. Louis, M3. For Respondents: Tlnnas E. Douglas , Esq. ^"rf T=ni«i S. TVmaoorsi, Esq. of Goburn, Croft & Putzell

KATIOKAL ASSOCIATION OF SECURITIES f INC. In the Matter of tie Arbitration Between Frances Fisher, as Conservator for *Case #90-00566 Bernice Kelhofer * Award Claimant * vs. Shearson Lehman Hutton, Inc. * and Ernest Beckwith * CASE SUMMARY Claimant, Frances Fisher, as Conservator for Bernice Kelhofer (Claimant") alleged that Respondents, Shearson Lehman Hutton, Inc, and.' Ernest Beckwith ( "Respondents" churned Claimant's acc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Nittofuil Anoctatfon of" SMUritie* DMta>» Inc. NASD Financial Center 33 Whitehall Street New York, New fork 10004 In the Matter of the Arbitration Between Name of Joseph Ragusa and Lee Ragusa vs. Awaj d Case: |f 90-00562 Name of Tteanmvterrt-. Daniel Eigo This claim was filed on February 23, 1990. Claimants, Joseph and Ragusa, contend that they placed an open o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Thomas Hussey 90-00561 Nflme of Graystone Nash, Inc. In a claim filed with the National Association of Securities Dealers, Inc. {"NASD") on or about February 23, 1990, Thomas E. Fftissey ("Claimant") alleged that Graystone Nash, Inc. ("Respondent") failed and refused to execute orders to sell shares of ATC Environtnental , Capital I

NATIOHAL ASSOCIATION OF SECURITIES DEALERS^ HKT. In the Matter of the Arbitration Between Ethan Gologor vs, Philip Cooper Claimant Respondent CASE* 90-00560 AWARD CASE SUMMARY In a claim filed with the National Association of- Securities Dealers, Inc. on February 26, 1990 Claimant Ethan Gologor alleged the Respondent Philip Cooper made various misrepresentations and omissions to him concerning the purchase- and sale of shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between f Arbitration National Association of Securities Dealera, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Shearson Lehman Hutton, Inc. Case No. 90-00554 ) MzCann & Associates, Inc. ) ) ) Heard before the members of the Arbitration Panel: Stephen A. LeClair, Esq. Henry Martin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Name of 90-00553 Deborah D. Ervin, et al. Name of Respondentfs^ KMS Financial Services, Inc. John A. Meyers, Jr. Heard before: Public/Industry PUBLIC INDUSTRY PUBLIC This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 26, 1990. Claimants alleged that Respondents: 1) violated Oreg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between j Name of Seymour & Rachel Knopf ) ) Case No. 90-00551 Name of Respondentfs^ . ) Fred Steve Ginsberg ) John Warren Manning ) A.I. Schweitzer ) Schweitzer & Co. ) Heard before the members of the Arbitration Panel: Robert Herschmann, Esq. Public Harry Polansky Public Calvin D, Cevaal Industry Claimants, Seymour & Rachel Knopf ("th