N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame Q Kenneth Nitkowski 89-02678 Lori Bye Royce ifcrk Investments, Inc. Claimant alleged that Respondents engaged in fraudulent reconnendations of penny stocks so that Claimant's entire worth was placed at risk. Claimant further alleged that the Respondents failed to monitor the activity in the client's account and failed to advise him of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry W. and Linda M. Kielsmeier JTWROS Claimant(s) vs. 89-02677 Edward D. Jones & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jerry W. and Linda M. Kielsmeier JTWROS alleged that Respondents) Edward D. Jones & Co., Inc. recommended unsuitable investments and did not provide a current Prospectus with regard

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Wilson, (Claimant) vs. Klein, Maus and Shire, Inc., SG Cowen Securities Corporation, and Maurice Gross, (Respondents) Case Number: 99-02839 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Helen Wilson, hereinafter referred to as "Claimant": Edward Weissman, Esq., Law Office of Edward Weissman, New York, NY. Respondent, SG Cowen Securities Corpora

J-IO- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. .uii Lhe Matter of the Arbitration Between David Ogle Cecil Ogle Richard Oglo Claimants vs. Legg Mason Wood Walker, Inc. Joel Wohl Respondents CASE #89-02671 AWARD CASE SUMMARY In a claim filed wit.i the National Association of Securities Dealers, Inc. on September ::5, 1989 Claimants David Ogle, Cecil Ogle and Richard Ogle alleged they informed the Respondents that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles M. & Katherine L. Paulk Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02669 Blinder Robinson & Co., Inc. and David Slaght Respondent(s) CASE SUMMARY Claimant(s) Charles M. & Katherine L. Paulk alleged that Respondent(s) Blinder Robinson & Co., Inc. and David Slaght made misrepresentations. Respondent(s) maintain that the alleged statement

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles Schwab & Co., Inc. Claimant vs. Harry Flitter and Ruth Flitter Respondents CASE SUMMARY Case #89-02668 AWARD Claimant seeks a debit balance created in Respondent's account during October 1987 when Respondents failed to satisfy margin requirements. Respondents deny the allegations, and interpose defenses asserting that Claimant refused to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Clemente Claimant(s) vs. 89-02667 H.T. Fletcher Securities, Inc. and Ricardo Grimes Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph Clemente alleged that Respondent(s) H.T. Fletcher Securities, Inc. and Ricardo Grimes failed to execute a trade. Respondent(s) maintain that they have no record of a sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joyce Hall Claimant vs. Swartwood, Hesse, Inc. Martin Rokeach Respondents CASE# 89-02658 AWARD CASE SUMMARY Claimant alleges that Respondents placed her in unsuitable investments and churned her account. Respondents deny the allegations and contend that Claimant was fully apprised of ^all^ her investments, and received confirmations of all p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Timothy R. Burdue, W.L. Burdue Claimants ) and Rose M. Burdue, JTWROS ) vs. ) AWARD Merrill Lynch, Pierce, Fenner & Respondents ) CASE NO. 89-02656 Smith, Inc. and Stephen J. Duffy ) Heard Before the Members of the Arbitration Panel: Bert Levy SUMMARY OF ISSUES This case was filed on September 25, 1989. Claimants alleged that they deposited monies int

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Camie Daniel, Alan Corleone and Right Trucking Lines Ltd., 89-02655 Name of Respondent ( s ) Bear Stearns & Company Sandy Kunkle and Sheldon Goodman In a claim filed with the National Association of Securities Dealers, Inc. (NASD") on or about September 19, 1989, Claimant Camie Daniel, Alan Corleone and Right Trucking Lines, Ltd. ("C