N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger W. & Judith A. Leidy 89-03170 Name of Resppndent{s| Charles Schwab & Company, Inc. CASE SUMMARY Roger w. and Judith A. Leidy ("Claimants") alleged that Charles Schwab and Company, Inc. ("Respondent") failed to disburse funds to the Claimants as mandated by the Baldwin-United Corporation's Plan of Reorganization. Respondent denied the clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen Cannon 89-03169 Name nf Responderrhs Ronald Hansen Clarence A. Smith First Securities Corporation First Financial Corporation of America In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 14, 1989, Helen Cannon ("Claimant") alleged that through misrepresentations she was induced to

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Natale Galletta and Frank Galletta Claimant(s) vs. 89-03168 Prudentia1-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Natale Galletta and Frank Galletta alleged that Respondent(s) Prudential-Bache Securities, Inc. negligently transferred 100 shares of a certain security out of Claimants' accou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between X Name of Claimant Roger W. Kroschel Case No. 99-02918 Name of Respondents H.J. Meyers & Company, Inc., SG Cowen Securities Corp., Brett Briggs, Gary Liddicoat, and Joseph L. Heaton. REPRESENTATION OF PARTIES Claimant, Roger W. Kroschel, hereinafter referred to as (" Kroschel") was represented by John A. Schmidt, Esq. of The Law Offices of John A. Sc

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, Claimant v. Searaus Caulfield, Respondent Case Number: 00-01046 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant PaineWebber, Inc.: Romaine L. Gardner, Esq. Law Offices of Romaine L. Gardner Staten Island, New York For Respondent Seamus Caulfield: Seamus Caulfield In Pro Per Carlsbad, California CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of nainviy|f (p) J. Richard Welton 89-03166 J.W. Gant and Associates, Inc. French-American Securities Inc. Skip Boruchin J. Richard Welton ("Welton") alleged that Skip Boruchin, a registered representative of J.W. Gant & Associates, Inc. (Boruchin and J.W. Gant are collectively referred to herein as "Respondents") failed to properly execut

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Don and Bonnie Springer Claimant(s) vs • 89-03164 Shearson Lehman Hutton, Inc. and Rodney Ambrose Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Don and Bonnie Springer alleged that Respondent(s) Shearson Lehman Hutton, Inc. and Rodney Ambrose made unsuitable investments and churned Claimants' account. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-03157 Patrick Rosenauer Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Patrick Rosenauer failed to pay for securities that he had purchased. Respondent did not respond. RELIEF REQUESTED Claimant(s) Dean Witter Reynolds, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. Jean Yarbrough Respondent(s) NOTICE OF ARBITRATION AWARD 89-03156 CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Jean Yarbrough refused to repay an amount which was erroneously credited to her account. Respondent did not defend. RELIEF REQUESTED Claimant(s) Dean Wit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Sandra Pasquariello Claimant v. AWARD 189-03155 Wheat First Securities, Inc. MiIon Chrisonan Charles Gill Respondents CASE SUMMARY The Statement of Claim was filed with the NASD on November 13, 1989. Claimant, Sandra Pasquariello, alleged that she was misled by respondents, Wheat First Securities, Inc., Milon Christman and Charles McGill into purchasing securities that were uns