N.A.S.D. AWARD -NATIONAL ASSOCIATION 05 SECURITIES DEALERS In the Matter of the Arbitration Between John G. Avery 89-01252 Name of ttegnonderrtrg) R. G. Dickinson & Company and David Butler CASE SMART John G. Avery ("Claimant") alleged that David Butler, a registered representative of R.G. Dickinson & CO. (Butler and R.G. Dickinson are collectively referred to herein as "Respondents") misrepresented and omitted to state material facts re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eino R. Olivares T.i.nda Olivares Heijo Olivarea 89-01244 of Respondent ( a \ Chris S. Christy Joseph V. Ace Eino, Linda, and Heijo Olivares ("Claimants") alleged that: 1. Chris Christy ("Christy"), a registered representative of Joseph P. Ace ("Ace") (Ace and Christy are collectively referred to herein as "Respondents") engaged in the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John F. Eric w. VS . Seligman Horty and Springer, Trustees Claimants Marketing, Inc. Respondent X X X X X X X X X X X X CASE NO. 89-01200 ORDER CASE SUMMARY Claimants, John F. Horty and Eric W. Springer, Trustees of the Horty, Springer & Mattern, a professional corporation pension

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Computer Color Graphics, Inc. 89-01191 Name of Respnnc Brack Stanford Stanford Securities, Inc. Gerald Fox In a statement of claim filed with the NASD on or about April 24, 1989, Claimant Computer Color Graphics, Inc. alleged that Respondents Brack Stanford, Stanford Securities, Inc. and Gerald Fox committed fraud and fa

NASD REGULATION AWARD, INC. In the Matter of the Arbitration Between Name of Claimants Hin Wai Law and Wai Ling Chien 92-02683 Name of Respondents Reich & Co., Inc. (Reich #1) Bear, Stearns Securities Corp. Kin K. Lam Fahnestock & Co., Inc. Reich & Co., Inc. (Reich #2) REPRESENTATION For Claimants Hin Wai Law and Wai Ling Chien appeared Martin J. Siegel, Esq., with law offices in New York, New York. Respondent Reich & Co., Inc. (

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Nick Van Der Kaaij Names of Respondents Josephthal & Co., Inc. Gregory L. Proechel Case No. 99-03413 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Nick Van Der Kaaij ("Van Der Kaaij") hereinafter referred to as "Claimants": Marcos Jimenez, Esq. and Felix Lopez, Esq., White and Case, LLP, Miami, Florida. For Josep

ASSOCXXnCN CP SHCUki'l'lBS TTOTJBfB in. tha Jfctter of tha Arbitration Bertha M. Gardoar anith. Baxaay Barria W. Cuey T$faan & Co., Lac. fixa of ("CUjdant") t Qngocy R. > P.O. of tb* IJH Stalth Barney Burl* T]^biB & Co., lac. and Ftancla W. t Al«j«olro S. ScdMad, Vlo* PtwidBt of aalth Baxocy ft Co., Inc. •Ebird-RKrty Pa^rfvVnt Dcnald Gwdaar ("Me, Qazdoar^) i Qngccy H. tb» law «i» of Boxdaa ft Farley, P.O. of Statc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 92-025% Name of Respondent Robert L. Link REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Nicholas L. DiVita, and Lisa Henocfa, Esq. of Bryan Cave, Kansas City, MO. Robert L. Link ("Respondent") was represented by Frank Susman, Esq. and Gregory K. AUsberry, Esq. of Sus

N A.i.D. \WARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In me Matter or the Arbitration Between N'aine of Claimant Pamela D Kinion 92-0X704 Name of Respondents Harry Banolomei Securities America Inc. CASE SUMMARY In a claim riled with the National Association of Securities Dealers. Inc. on August 12. 1992. Claimant Pamela D. Kinion who appeared Pro Se. alleged that during the first week of February. 1^88 Respondent Harry Banolomei. Man

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert Pewitt Nancy Pewitt NASD Arbitration No. 92-01315 of Respondents Dean Witter Reynolds, Inc. Ken Mattson Allan Bud Stevenson REPRESENTATION For Claimant: Richard Sacks - Investors Recovery Service - Novato, Ca. For Respondents, Dean Witter Reynolds, Inc. and Allan Bud Stevenson: David P. Restaino - Dean W