NATIONAL ASSOCIATION OF r .fT!JRITIES DEALER 1 ".. ! MC. In the Matter of the Arbitration Between Alvin Hi I son VS. Hark Mil ana Claimant Respondent CASE ^89-02534 AWARD CASE SUMMARY Claimant alleges Respondent failed to execute an order to sell and further the stock was an unsuitable investment. Respondent deniH the allegations and asserted that Claimant was a sophisticated investor, who never gave a direct orde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of f!lj»iniants Dennis Puckett 89-02529 nf Tteg-«Trrie Shearson Lehman Huttcn, me. Ernest V. Mancrief III Claimant Dennis Puckett alleged that Respondents Shearson Lehman Button, Inc. and Dennis V. Moncrief, III engaged in multiple unauthorized securities transactions in his account including margin trades and trades of options. Claimant fu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles R. Tarver Claimant ) ) vs. ) AWARD ) Shearson Lehman Hutton ) Brothers, Inc., aka ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 89-02526 ) SUMMARY OF ISSUES Claimant alleged that Respondent, through its employee broker, (1) failed to execute an order to sell 2000 shares of Repligen common stock, and (2) executed an unauth

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert D. Westfall Claimant(s) vs. 89-02659 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert D. Westfall alleged that Respondent(s) Dean Witter Reynolds, Inc. failed to follow Claimant's instructions regarding the transfer of certain funds from an account maintained with Respondent to an IRA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony M. Manochio Aurora Manochio Fernanda C.P. Berntrdes Claimants vs. CASE# 89-02525 AWARD John Passaro Vincent DeSantis Robert Mulvihill Respondents CASE SUMMARY Claimants alleged that Respondents made unauthorized transactions. Respondent Individual Securities, Inc. maintained that the transactions were authorized. RELIEF R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Linda S. Fade11 Claimant(s) vs. 89-02524 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Linda S. Padell alleged that Respondent(s) Prudential- Bache Securities, Inc. mishandled Claimant's account. Respondent (s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Linda S. Pa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Kevin Carroll, v. Respondent CIBC Oppenheimer Corporation, Eric P. Weschke, Salvatore J., Sapienza, Tasin & Company, Inc. Case Number: 99-02818 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Kevin Carroll, hereinafter referred to as "Claimant" was represented by Royal B. Lee s III, Esq., of Bingham & Lee, P.C., located in San Antonio, Texa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lloyd Moon and Karen Moon, (Claimants) vs. Global Equities Group, Inc., Scott Vandett, RJ. Steichen & Co., Inc., Michael Aparo, Abbey Ashford Brokerage House, Michael Christ, Alex Paul, Wayne Wichert, Steven Hellman, Calvin Moore, Martin Wegard, Damiano Coraci, Aleksandr Shvarts, Vadim Zeltser, Thomas Frye, and Hanifen, Imhoff Clearing Corp., (Respondents) Case Number: 00-0104

N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Israel & Edith Port ) ) ) ) Case No. 89-02522 Josephthal & Co., Inc. ) Theodore Loevner ) Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. George R. Canty, Jr. Thonas J. Boyle This claim was filed with the NASD, Inc. on September 11, 1989. The hearing was conducted in Fort Lauderdale, Florida on August 8, S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gabi and Roberta Shabtai Claimant(s) vs. 89-02520 Wakefield Financial and George Palefsky Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gabi and Roberta Shabtai alleged that Respondent(s) Wakefield Financial and George Palefsky failed to execute a sell order prior to purchasing additional securities for Claimants' acco