NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DONALD W. BOOTH and EVELYN T. BOOTH, ) Claimants, ) ) Case 189-01384 vs. ) Award ) A.G. EDWARDS & SONS. INC. and ) ROBERT COOK. SR.. ) Respondents. ) ) Heard before the member of the Arbitration Panel; George S. Coit Jr., Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on April 28, 1989. The hearing was conducted in Ta

Arbitration N.A.S.D. AWARD NattoiwJ AModrion of Sftcuritin OMtat*. inc. . Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS ChiSgo,T 6060?' (312) 899-4440 In the Matter of the Arbitration Between Mama of Richard L. Anderson 89-01361 Craig Hallum, Inc. Thomas N. Roeenberger Janes Ferguson Momchilo vucenich John Robinson George Bonniwell William Thayer Edward Fleitznan Richard Heimerl CASE SlfcWARY In a

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Lorenzo Frisenda Claimant(s) vs. 89-01325 Tom Egan, Underbill Associates and Bill Batcher Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lorenzo Frisenda alleged that Respondent(s) Tom Egan, Underbill Associates and Bill Batcher committed unauthorized trading in Claimant's account. Respondent(s) did not respond to Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. and Marsha L. Rowlands vs. Graystone Nash, Inc. vs. Peter Blanding and R.B. Marich, Inc. Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-01309 CASE SUMMARY Claimant(s) James A. and Marsha L. Rowlands alleged that Respondent(s) Graystone Nash, Inc. mishandled their account. Respondent Graystone Nash, Inc. denies kn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03415 American Fronteer Financial Corporation, Claimant vs. Robert Roon, Respondent. ATTORNEYS: For Claimant American Fronteer Financial Corporation, hereinafter referred to as "Claimant": Thomas D. Birge, Esq. of Birge & Minckley, P.C., Denver, CO. Respondent Robert S. Roon ("Roon") did not appear. DATE FILED: July 27, 1999. CASE SUMMARY: Claimant alleged the following: Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Morris Chafetz and Marion Chafetz Claimants vs. AWARD #89-01237 Steven W. Dorman Washington Financial Group, Inc. Penn Mutual Equity Services Respondent Case Summary Claimants Morris and Marion Chafetz alleged that Respondents Steven W. Dorman, Washington Financial Group, Inc. and Penn Mutual Equity Services placed the Claimants into two unsuitabl

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION Anthony Valente Case #89-01209 Claimant AWARD vs. Anthony Pallo Respondent CASE SUMMARY Claimant Anthony Valente alleged that the Respondent Anthony Pallo misrepresented the quality and safety of the Putnam High Income Government Trust Fund and improperly charged the Claimant a commission upon the sale of this Fund. The Claimant also alleged that the Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Michael & Eve Lohnes Claimants vs. Hakefield Financial Corporation and George Palefsky Respondents Case *89-01298 AWARD CASE SUMMARY Claimants Michael end Eve Lohnes alleged that Respondent George Palefsky and Respondent Hakefield Financial Corporation failed to execute the sale of certain securities, and made c-.her unauthorized sales and purch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael A. lacovacci AWARD #89-01286 Name of Respondent Merrill Lynch, Pierce Fenner & Smith, Inc. CASE SUMMARY Claimant, Michael A. lacovacci alleged that Respondent, Merrill Lynch,,. Pierce, Fenner & Smith, Inc. failed to enter certain sale orders on October 20, 1987 in a timely fashion, resulting ijn losses to the Claimant. Respondent ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS^INC. IN THE MATTER OF THE ARBITRATION BETWEEN Vasilios Myrianthopoulos Claimant vs. Case #89-01257 AWARD Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C., Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY Claimant Vasilios Myriantliopoulos alleged the Respondents Merrill Lynch, Pierce, Fenner & Smith (Hellas) L.L.C. and Mernll*Lynch, Pierce, Fenner & Smith, Inc. w