NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between /I /i mo* Claimants ) Award } NASD f vs. Ke Coruch. Ao/w -f / C\U(if Respondents SUMMARY OF ISSUES This case was filed on ( AC'i' Cl ( L _e ft ( i"- O. C .-Ax., ./j tj7.tr/ L iM\r A. ...;;•)/i V/T(J .!_/•" 'V> •_•/; A.. .':;. »L../';/)•./.'/^ 7i" (. '(LJ r. r i>i..t tC /"V 6.^. . .!/•/ ::L,{'^ / N

NATIONAL ASSOCIATION OF SECURITIES DEALERS In~-the Matter of the Arbitration Between Hal Mevorah Claimant(s) vs. Larry Geller, Venderbilt Securities, -^Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD 88-01818 CASE SUldXARY Claimant(s) Kal Msvorah alleged that Respondent (s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc., and Joseph Radcliffe fraudulently misrepresente

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daniel P. Krafka Claimant and PaineWebber, Inc. Steve Hill Respondents A W A R D 88-01764 SUMMARY Claimant alleges that on October 15, 1987 he placed an order for five OEX NOV.290 put options at a price of 4 1/8. C Lai man t also alleges that he instructed Respondent Hill to Immediately purchase Five OEX NOV.290 put options w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marianne Haves Claimant ) Case 188-01760 vs. Bull & Bear Securities, Inc. Respondent Award 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 May 26, 1988 and July 14, 1988 respectively; An

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Ar&itration Between ) GLEN SCHIEVE ) Claimant ) NASD No. 88-01746 v. ) R.G. DICKINSON & CO. ) Respondent ) CASE SUNDRY In a claim filed with the NASD on or about May 31, 1988, Claimant Glen Schieve ("Schieve") alleged that Respondent R. G. Dickinson & Co. ("RGD") failed to close Schieve's account when ordered to do so. Additionally, Schieve alleged that RGD sold 3000 s

Kc S :o,JL_£__L Volume **-_, Number_i Year ?O .'.ATIGHAL .AssociATio:< OF ^cu^riES LI-'.LVO, .•:•;. In the f^nisr of the Aroitration tietween ) Dudley V!. Goetz, D.O., P.C. ) Defined Benefit Pension Plan ) Claimant ) and ) A W A R D ) 88-00854 E.F. Huttcn & Co., Inc. and ) Theodore 0. Burhans ) Respondents ) CASE SUMMARY In a claim filed on or about March 3, 1988, the Claimant alleged that Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Rick A. Buss ) Claimant and 1 A W A R D 88-00842 E.F. Mutton, Inc. and Stephen Clarke ) Respondents ) CASE SUMMARY In a claim filed with the NASD on March 15, 1988, Claimant Rick A. Buss alleged that Stephen Clarke and E.F. Mutton sold 30 IBM April 145 calls without the Claimant's approval or authorization. In their

- _ ___ ___ _ Arbitration N.A.S.D. AWARD „ . National Association of Securities Dealers. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago. IL 60602 (312) 899-4440 In Uie Matter of the Arbitration Between Name of Thomas L. and Julia L. Martin Name of Respondent's^ Kidder, Peabody & Co., Incorporated Clay "decker CASE SUWARY In a Statement of Claim filed with the NASD on April -m-h.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David S. Leonard Trustee f/b/o Accountancy Corporation Defined Benefit Pension Plan & Trust dated 3/18/87, Claimant v. Kennedy, Cabot & Company (n/k/a Calabasas Asset Holding Co., Inc.), Waterhouse Securities, Inc. (a/k/a TD Waterhouse Securities) and Herbert Voss, Jr., Respondents Case Number: 99-03343 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES Fo

NATIONAL ASSOCIATION OF SECURITY DEALERS. INC. In the Matter of Arbitration Between DAVID A. SCHMITT Claimant v. BEAR STEARNS & CO., INC. and KENNELM CASSELL Respondents NASD NO. 88-01147 CASE SUWARY Claimant alleges that Respondents churned his account, recommended unsuitable transactions and knowingly or with reckless disregard materially misrepresented or omitted the facts that an ordinary investor would reasonably rely upon.