NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Manu S. Patel and Kusum M. Patel Claimant(s) vs. 89-02292 Ray R. Mandava Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Manu S. Patel and Kusum M. Patel alleged that Respondents) Ray R. Mandava made unauthorized transactions. Respondent denies any wrongdoing and has instituted a counterclaim in the amount of Two Thousan

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimantl&.\ Philip C. Peterson 89-02289 Mame of Regpon^pTit.t s \ Charles Schwab & Company, Inc. CASK SMART Philip C. Peterson ("Claimant") alleged that Charles Schwab & Co., Inc. failed to properly execute the Claimants order for 1,000 shares of Budget Rant-A-Car Corp. and further that the Claimant's order for those shares should

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Marina Kramarov, Claimants } Roza Zborovsky, ) Semyon Zborovsky ) ) NASD No. 89-02285 vs. ) Alex Neyman Respondent SUMMARY OF ISSUES „ „ Claimants alleged Respondent misrepresented the facts regarding the safety, interest rate stability, constant share value, & accessibility of their funds in the P

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Fausto Speranza, Claimant vs. Martin Coffey and Securities America, Inc., Respondents Case Number: 99-02800 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Fausto Speranza, hereinafter referred to as "Claimant": Marc A. Page, Esq., Westerly, Rhode Island Respondents, Martin Coffey, ("Coffey") and Securities America, Inc. ("Securities America"), here

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Carole and Martin Gerstenbluth x Claimants x x CASE NO. vs. x 89-02284 x NK & Co., Ernst & Co., and x AWARD First Montauk Securities Corp. x x Respondents x x CASE SUMMARY Claimant Carole Gerstenbluth ("Mrs. Gerstenbluth") alleged that her broker, Martin Gerstenbluth ("Mr. Gerstenbluth"), entered an order for her account to buy 5

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between George A. and Cyrena M. Dobrinich Claimant(s) vs. 89-02283 A.G. Edward* & Sons, Inc. Respondent(s) NOTICE OF ARBITRATION AHARD CASK SUMMARY Claimant(s) George A. and Cyrena M. Dobrinich alleged that Respondent^s) A.G. Edwards & Sons, Inc. failed to follow Claimants' instructions. Respondent(s) maintain that Claimants authorized the purcahs

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank M. and Frances Charles Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02282 A. Marino and Joe Marino and Andy Delano Respondent(s) CASE SUMMARY Claimant(s) Frank M. and Frances Charles alleged that Respondent(s) A. Marino and Joe Marino and Andy Delano made misrepresentations. Respondent(s) Annette & Joseph Marino maintain that they have no

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. : In the Matter of the Arbitration Between Martha w. High Claimant vs. Shearson Lehman Hutton, Inc. Robert B. Grade Respondents CASE* 89-02281 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1989 Claimant Martha W.^ High alleged the Respondents entered the Claimant into unauthorized stock purchases and further alleged Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -•»•••»**»•»»»»*•»»»»*»»»*»*»•»»*»**»***»*•»»*•»•»•»*•»•»•»»•»»•»«••»•»»•«•* * In the Matter of the Arbitration Between/Among William R. and Phyllis A. Marshall vs. Keith M. Pillich AWARD Claimants Respondent Case '89-02279 CASE SIMftRY Claimants William R. and Phyllis A. Marshall alleged that Respondent Keith M. Pillich misrepresented to the Claimants chat their investments with him would

NATIONAL AV/.M;! M 10'! '^ '. H'-'JP [TIES OE.ALLP'.., INC. In the Matter of the Arbitration Between Lena Va)ent vs. laimant Joseph P. McGivney & Associates, Inc Drake & Co. Investment Services, Inc. Respondents CASE =89-02Z74 AWARD CA1.E NUMMARY Claimant alleges Respondents failed i o carry out a sMl order. Respondent Joseph P. McGivney 4 Associates, Inc. ("J.P. McGivney") contends the losses in the stock purchased by Claimant were