NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) BRIAN A. GROVE ) Claimant ) and ) ) CASE NO. 89-03182 FIRST COMMERCE INVESTMENT SERVICES AND ) BOB BROWN ) Respondents } CASE SUMMARY In a Statement of Claim filed with the NASD on November 14, 1989, Claimant Brian A. Grove ("Grove") alleged that Respondents First Commerce Investment Services ("First Commerce") and Bob Brown ("Brown") improper

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lorraine F. O'Connell Claimant(s) vs. Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD 89-03180 CASE SUMMARY Claimant(s) Lorraine F. O'Connell alleged that Respondent(s) Prudential-Bache Securities, Inc. owes her for the difference between the trade date and the sale date of certain securities. Respondent(s) main

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph A. Blissit, Jr. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Names of Respondents Joseph A. Blissit, Jr. Wheat First Union 99-02919 Consolidated with 99-2943 REPRESENTATION For Joseph A. Blissit, Jr. ("Blissi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary Phillips 89-03179 Kbbar Financial Corp. Heard before the Arbitrator: David A. Tbwnsend, Esq. CASE SCMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing was conducted in Tampa, Florida on September 12, 1990 with a total of one session. Claimant, Gary Phillips ("Phillips"), alleged that RespmiJent, Kbber F

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ilene F. Boyd Claimant(s) vs. 89-03178 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Ilene F. Boyd alleged that Respondent(s) Shearson Lehman Button/ Inc. did not make a suitability determination aa to Claimant's investment made through Respondent. Additionally, Claimant alleges that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore S. Morando Claimant(s) vs. 89-03176 Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Salvatore S. Morando alleged that Respondents) Wall Street Clearing Co. failed to cancel a purchase order as requested by Claimant. Subsequently, the securities in question were sold at a loss by Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STEPHEN FICANO, ) Claimant, ) Case No. 39-03175 vs . ) ) Award ALLIED CAPITAL GROUP, INC., ) ROBERT SCONZO. ) Respondents, ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Mr. Harry Polansky Mr. Terrence Vf. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing w

Arbitration N.A.S.D. AWARD „ „ , A Nation*) Association of Securities Dealers. Inc. - Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between e of Jack Deutsch 89-03174 B.C. Christopher Securities Co. Timothy O'Leary CBSE SGMAR7 In a Statement of Claim filed with the NASD on November 14, 1989, Claimant Jack Deutsch a

Arbitration N.A.S.D. AWARD National Associationo« Securitlea Dealer*, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York New York 10004 In the Matter of the Arbitration Between Mama o Judith Kalina 89-03172 Name of Respondent! Mark Fialkov Claimant, Judith Kalina, alleged that Respondent, Mark Fialkov, reconnended unsuitable investments and made misrepresentations regarding the nature a

N.A.S.D. AHARD NMTCNRL ASSOCIATION OP SECURITIES DEAUSRS In the Matter of the Arbitration Between of r^ Lee Phillips 89-03171 Prudential -Racha Securities, Inc. and J. Frederic Storaska Claimant visa represented by Paul C. Nay, Esq. of Doranus & Trauger, Nashville, ~ Respondents were represented by Noah Sorkin, Esq. of Prudential Securitiee, Mew York, Him York. The Statement of Hnlm was filed with the NASD by Claimant, Randall Philli