NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence j. Kaitz Elizabeth N. Kaitz Gerald I. Emerick vs. Claimants CASE* 89-02441 Smith Barney Harris Upham Co., Inc. Florette Small Respondents Heard before: Richard W. Vallario, Esq. Public Arbitrator George H. Hearn Public Arbitrator Emil Spinelli Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony P. Rua Claimant(s) vs. Madison Chapin Associates, Inc. and Peter Panariello Respondent(s) NOTICE OF ARBITRATION AWARD 89-02436 CASE SUMMARY Claimant(s) Anthony P. Rua alleged that Respondent(s) Madison Chapin Associates, Inc. and Peter Panariello executed an unauthorized purchase in Claimants' account and subsequently misrepresente

Arbitration NATIONAL ASSOCIATION OF SMCUKTi'lBS DEALERS In the Matter of the Arbitration pg f f lj»4tnftT>t (8) George Fauser Name of Sfrancndent {a) Stuart Janes Ccnpany, Inc. David Weintraub David Harrington of Inc. On* East Broward BouMvard Suit* 1000 Ft. Uud«rdai*. Florida 33301 (305) 522*7391 Mb. 89-02431 For Claimant, George Fauser ("Fauser") i Michael Addiaon, Eaq. of Gosaett. & Co., Itoc. ("Stuart

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Melvin C. Harris and Phyllis A. Harris vs. Stuart-James & Co. and Shaw P. Sullivan Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-02430 CASE SUMMARY Claimant(s) Melvin C. Harris and Phyllis A. Harris alleged that Respondent(s) Stuart-James & Co. and Shaw P. Sullivan caused Claimant to suffer damages due to misrepresentation, exce

NASHJ Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. One East Browaro Boulevard Suite 1000 :305522 7391 NATION?!. ASSOC1ATTPN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Shcchet Securities, Inc. CASE #89-02417 Henry Bloch Heard before the members of the Arbitration Panel: John B. Kelley, Esq. Mr. Andrew E. Baluk Mr. Joseph M. Luby CASK SDMHMCT This claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alfred W. Rousseau June M. Kupfer vs. PaineWebber, Inc. Claimants AWARD Respondent CASE #89-02413 CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on August 28, 1989 Claimants Alfred W. Rousseau and June M. Kupfer alleged that Respondent through its account representative churned the Claimants' account t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Rolf Olson ) Rolf Olson Defined Contribution ) Pension & Profit Sharing Plan ) Claimant } ) AWARD vs. ) ) NASD NO. 89-02408 Dain Bosworth, Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 28, 1989. Claimant alleged lack of suitability, failure to exer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ( s \ Ed Betenson 89-02407 ^ Robert Amato Heard before: Naroe A. Robert Thorup Public Chair This case was filed with the National Association of Securities Dealers, Inc. ("NRSD") on August 28, 1989. Claimant alleged that Claimant purchased shares of stock in Systems Data Services based upon statements by Amato that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Melvin C. Harris Claimant(s) vs. 89-02406 Mitchell Schneider and Allied Capital Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Melvin C. Harris alleged that Respondent(s) Mitchell Schneider and Allied Capital Group made an unauthorized transaction in Claimant's account. Respondent(s) denied all allegations and sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis Janos Claimant(s) vs. 89-02405 Ralph Bieber, Eugene Poland and Rich Adams Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Louis Janos alleged that Respondent(s) Ralph Bieber, Eugene Poland and Rich Adams made unauthorized transactions. Respondent Rich Adams maintains that he would personally have no obligations for