N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02804 Charles Schwab & Co. Inc., claimant vs. Marjorie Silverstein, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co. Inc., ("Claimant"), Yuri Mikulka, Esq. of the firm Keesal, Young & Logan, Long Beach, CA. Respondent, Marjorie Silverstein did not respond to Claimant's Statement of Claim. DATE FILED: June 21, 1999 CASE SUMMARY: Claimant alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Eleanor O'Brien Claimant(s) vs. 89-02404 Morunouth Investments, Inc., Securities Settlement Corp. and Roy Ageloff Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph and Eleanor O'Brien alleged that Respondent(s) Morunouth Investments, Inc., Securities Settlement Corp- and Roy Ageloff failed to execute a st

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-02397 Jack P. Shanks Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Jack P. Shanks refused to pay Claimant funds which were wired in error to Respondent's bank. Respondent did not defend. RELIEF REQUESTED Claimant(s) Dean

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN George F. Tiritilli Claimant vs. Case #89-02396 AWARD Randall George Corporation Securities Settlement Corporation James E. Grogan Respondents CASE SUMMARY Claimant alleges Respondents made unsuitable and unauthorized trades in his account. Respondent Randall George Corporation ("RGC") denies the allegations and contends that Claimant is an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Frederick J. Keitel, III ) ) 89-02393 PaineWebbar, Inc. ) James Sincoke ) John Thurston ) Russ Brown ) Heard before the matters of the Arbitration Panel i Casey W. Mills, Esq. Elizabeth L. Clark Anthony S. Paetro, Esq. CASE SIMARY This claim was filed with the NASD, Inc. on August 25, 1989. Tne hearing was conducted in Fort La

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Hampton 89-02389 Name Qf RpgppjpdQnt Is) E.F. Hutton & Company, Inc. Ronald Sanchez CASE SUMMARY In a Statement of Claijn filed with the NASD on August 24, 1989, Claimant Rick Hampton alleged that from October 1983 through March, 1985, Respondents effected transactions in his options account without Claimant's authorization or knowledg

NATIONAL ASSOCIATION OF SECURITIES DEALERS f In the Matter of the Arbitration Between Joseph H. Gauss Claimant(s) vs. 89-02379 Blinder, Robinson & Co., Inc. vs. John Hubble Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph H. Gauss alleged that Respondent{s) Blinder, Robinson & Co., Inc. made unauthorized trades in his account. Respondent(a) maintain that Claimant's 'losses, if any, were caused

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ALEX AND MAURINE SOKOL ) ) Claimants ) and ) ) CASE NO. 89-02372 BLUNT ELLIS & LOEWI, INCORPORATED; ) RODGER 0. PARKER; AND ROGER L. WILKIE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 23, 1989 and an amendment to the claim filed with the NASD on or about March 7, 1990, Claimants Alex and Mauri

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Koberman Phyllis Hoberman Claimants vs. Shearson/American Express Eugene Weiss Respondents CASE 189-02367 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1989 Claimants Robert and Phyllis Hoberman alleged the Respondents Shearson/American Express and Eugcrse Heiss misrepresent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Daniel Rainford Claimant(s} vs. Equities International, Inc., Anthony Havens and John Connelly Respondent(s) NOTICE OP ARBITRATION AWARD 89-02363 CASE SUMMARY Claimant(s) Daniel Rainford alleged that Respondent(s) Equities International, Inc., Anthony Havens and John Connelly failed to follow Claimant's instructions, executed unauthorized