NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sadie Appleman, individually Claimant ) and as Trustee of the Sadie ) Appleman Family Trust ) ) vs. ) AWARD ) Boettcher & Company and Respondents ) CASE NO. 89-02516 Craig Bailey ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 11, 1989. Claimant Sadie Appleman alleges th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DEREK AND GLADYS GEORGE, ) Claimants, ) t ) Case #89-02513 vs. ) Award SHEARSON LEHMAN BUTTON, INC., and ) ANTHONY RODRIGUEZ, ) Respondents. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 8, 1989. The hearing was conducted in Fort Lauderdale, Florida on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Townsley Associates & Co., Inc. Claimant (sj vs. Thomas E. Gell Respondent(a) NOTICE OF ARBITRATION AWARI> 89-02511 CASE SUMMARY Claimant(s) Townsley Associates & Co., Inc. alleged that Respondent(s) Thomas E. Gell failed to pay Claimant for securities transaction originated by Respondent. Respondent denies Claimant's allegations and count

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adrian H. and Audrey A. Krieg Claimant(s) vs. 89-02509 Financial Centre Securities and Martin Y. Agress Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Adrian H. and Audrey A. Krieg alleged that Respondent(s) Financial Centre Securities and Martin Y. Agress misrepresented the amount of the sales commission associated with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joanne Passero Claimant vs. Timothy Rose Respondent AWARD 189-02506 Case Summary Claimant, Joanne Passero alleged that Respondent, Timothy Rose placed her in unsuitable securities and executed an unauthorized option trade in Claimant s account. Respondent Timothy Rose conceded that an unauthorized option trade did occur in Claimant's account but maint

Arbitration N.A.S.D. AWARD Nation.. As.oci.tion of Sacuritiaa Dniara, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, It- 60602 1312) 899-4440 In the Matter of the Arbitration Between Name of Clainant(s) John B. Menzer 89-02502 Name of. Respondent(si Equities International Securities CASE SMART In a claim filed on or about September 8, 1989, Claimant John Menzer alleges that Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Bywaletz Claimant(s) vs. 89-02496 Wall Street Clearing Co. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Bywaletz alleged that Respondent(s) Wall Street: Clearing Co. froze Claimant's account without any warning and because of this any profit that could have been made waa lost. Additionally Claimant feels h

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02813 Carnegie Investor Services, Inc., claimant vs. George F. Crowley, III, respondent. ATTORNEYS: For Claimant Carnegie Investor Services, Inc. ("Claimant"), Louis H. Miron, Esq., Westfield, New Jersey. Respondent George F. Crowley, III ("Respondent") appeared Pro Se., Bethpage, New York. DATE FILED: 06/21/1999 CASE SUMMARY: Claimant alleged that on Sept

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Virginia Sarat Claimant(s) vs. 89-02493 Norwest Investment Services f/k/a Norwest Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel and Virginia Sarat alleged that Respondent(a) Norwest Investment Services f/k/a Norwest Brokerage Services did not sell when ordered. Respondent(s) maintain th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) William R. Dunlop, M.D. ) Medical Corporation ) Defined Benefit Plan ) and William R. Dunlop ) Keogh Trust dated 3-16-82, ) by William R. Dunlop, Plan ) Trustee/Administrator Claimants ) ) vs. ) AWARD ) Eagan & Company ) James R. Eagan Respondents ) CASE NO. 89-02489 i ) SUMMARY OF ISSUES Claimants alleged Respondents breache