N.A.S.D. AWARD NMICNAL ASSOCXKnCN OF SHllki'mS DEALERS la the Matter of the Arbitration 89-01997 Vandsrbilt Securities, lac. Snith fc Barris, Longview, Texas. by by Gary H. Shaver, Esq. of Tftrhoiir, Kenley, Boyland, Tha Statanait of f r '»^'« t«a filed on, or about JUly 13, 1989. Reply to filed on or about "•"•"*>•»• 8, 1989. Claimant's Subnisaica AgreoDBnt ff^p™^ OB July 10, 1989. Statamant of JhiBiiiii' filed by Baapondant, Vandad

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ROBERT L. PIERCE, JR. ) ) Claimant ) and ) ) CASE NO. 89-01995 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND STEPHEN LOFTUS ) ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASO on or about July 13, 1989, Claimant Robert L. Pierce, Jr. ("Pierce"-) alleged that Respondents Merrill Lynch, Pierce & Smith, Inc. ("M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Jeanne Rocchio JTWROS vs. Claimant(s) 89-01993 Equities International Securities, Inc. Respondent(8) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph and Jeanne Rocchio JTWROS alleged that Respondent(s) Equities International Securities, Inc. negligently mishandled Claimants' account held with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs. 89-01989 Joan D. Mescon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Joan D. Mescon received payment for the proceeds of the sale of 200 shares of a certain security when Respondent was entitled to proceeds from the sale of only 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs. 89-01988 Robert L. Pearson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Robert L. Pearson failed to meet a margin call and as a result Claimant liquidated Respondent's account to a debit balance of $5,717.17. Only $1,208.19 of the

NASD N.A.S.D. AWARD NATICNRL ASSOCIATICH CF SECURITIES DERLHG Arbitration National AMoeiation of Securitlea Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between rvf Richard Johnson va of Pfjff Case # 89-01979 Securities Settlement Gorporaticn Robert Maietta Claimant, Richard T. Johnson, alleges that he purchased 50,000 shares of United Buying

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-01975 Richard Chen Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Wittar Reynolds, Inc. alleged that Respondent(s) Richard Chen has not paid Claimant the amount due in Respondent's option trading account. Respondent(s) has not responded to Claimant's allegations. RELIEF REQ

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) HOMER F. PITTMAN ) Claimant ) v. ) NASD NO. 89-01974 OARYL PARIS ) Respondent ) CASE SUMMARY Homer Pittman ("Claimant") alleges that Daryl Paris ("Respondent") did not execute a sell order upon Claimant telephoning the Respondent on August 31, 1987. The sell order was for Pathfinder Treasury and Growth Stock series one and series four. Claimant he-Id 50,0

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John M. Yeaton v. Salomon Smith Barney Inc. and Stephen Fox Case Number: 99-2725 Hearing Site: Southfield. Michigan REPRESENTATION OF PARTIES Claimant, John M. Yeaton ("Yeaton"), hereinafter referred to as "Claimant": John F. Mills, Esq., Williams, Williams, Ruby & Plunkett, PC, Birmingham, Michigan. Respondents, Salomon Smith Barney Inc. ("SSB") and Stephen Fox ("Fox"), herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) VflLLIAM H. ROOF, . ) Claimant, ) ) Gas* J89-01970 vs. ) Award ) PRUDENTIAL-BACHB SECURITIES, INC. and ) WILLIAM HOOD. ) Respondents. ) ) Heard before the Arbitrator: Craig Edward Stein, E«q. CASE SUMMARY This claim was filed with the NASD, Inc. on July 11. 1989. The hearing was conducted in Port Lauderdale, Florida on June 6, 19