N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonita A. Jankowski 89-03046 Name of RespondentIs1 Blunt Ellis & Loevri Incorporated and Judy Anderson In a claim filexl with the NASD on or about October 18, 1989, Bonita A. Jankowski ("Claimant") alleged that she was unsuitable for the investments made in her account in light of her stated investment objective* of income and preservation of p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. • ^ ^ ™» "~ •»«••«••• •• ••••^^^•^••flB ^ ^^MB^^M«M^ «M _ _. ^ ^ "^ •» ^^ w ^ < ^ ^ •• ^ *V ^ MB ^ ^ In the Matter of the Arbitration Between Bennett Mostel Claimant vs. CASEf 89-03040 AWARD Beuret & Company, Ltd. Wall Street Clearing Co. Respondents CASE SUMMARY Claimant alleges that Respondents failed to execute sell orders for warrants of Med Master Systems, Inc. as instructe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in r.he Matter of the Arbitration Between Name o^ Claimants Robert T. and Lorraine C. Canavan Case # vs. 89-03038 Award Name of Respondent(s} .John Hancock Distributors, Inc. (George King Claimants, Robert and Lorraine Canavan, allege that Respondents, John Hancock Distributors, Inc. and George King, failed to disclose to them that there were cotmissions and sales charges in refer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimnt City Of Montevallo Water & Sewer Board 89-03037 Mame of Respondent ( s } William Doyne McCord Richard Gene Smith Dan Edward Maudy Richard Lee Knox Richard Michael Brucki Richard Henry Wilson Gary Hugh Nichols Joe Hirsch Selz James Lee Hoyt United Capital Corporation Heard before the < arbitrator /members of the

N-A.S.D. AWARD NATIONAL ASSXIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rente and Arnold 89-03036 Shelter Bock Securities Corp. Ray C. Rivera Jr. Jack Skiddell Grace Skiddell In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 30, 1989 Rons and Nancy Arnold. ("Claimants") alleged that Ray Rivera, Jr. ("Rivera") while employed at Shelte

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bateman Eichler, Hill Richards, Inc. Claimant(s) vs. 89-03035 G.J. Stewart and Rebecca Stewart Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Bateman Eichler, Hill Richards, Inc. alleged that Respondent(s) G.J. Stewart and Rebecca Stewart owes Claimant an amount that was erroneously credited into Respondents' account.

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna Clarke, (Claimant) vs. Citicorp and Citicorp Investment Services, (Respondents) Case Number: 99-05071 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Edna Clarke, hereinafter referred to as "Claimant": Charmaine M. Stewart, Esq., Charmaine M. Stewart & Associates, Rosedale, NY. Respondents Citicorp and Citicorp Investment Services ("CIS"), herein

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward A. Bent, (Claimant) vs. Charles Schwab & Company, Inc. and Tracey L. McMahan, (Respondents). Case Number. 99-04810 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Edward A. Bent: Blake Weston, Esq., San Francisco, California. Charles Schwab & Company, Inc. and Tracey L. McMahan: Sean Meehan, Esq., Charles Schwab & Company, Inc., San Francisco, Cal

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Martin W. Huffman and Sharon M. Huffman, Claimants v. John W. Huemoeller, n, Prudential Securities, Inc., PaineWebber, Inc., and FSC Securities Corporation, Respondents Case Number: 99-04769 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondent John W. Huemoeller, II: For Respondent Prudential Securities, Inc. For Respondent Pa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ulla Carina West and Michelle Hatzis Sullivan, (Claimants) vs. Legg Mason Wood Walker, Incorporated, (Respondent) Case Number: 99-02899 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants, Ulla Carina West ("West") and Michelle Hatzis Sullivan ("Sullivan"), hereinafter collectively referred to as "Claimants": Francis J. Murphy, Esq., Murphy Spadaro & L