HATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Virginia Hogan Living Trust, Virginia Hogan TTEE Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-01878 Dillon Securities, Inc. Respondent(s) CASE SUMMARY Claimant(s) Virginia Hogan Living Trust, Virginia Hogan TTEE alleged that Respondent(s) Dillon Securities, Inc. was negligent in handling Claimants' account. Respondent(s) maintain that the loss i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HARRY B. NEEL, M.D. ) Claimant ) and ) ) CASE NO. 89-01876 EARL R. SETTS AND ) PRUDENTIAL-BACHE SECURITIES, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or-about June 28, 1989, Claimant Harry B. Neel, M.D. ("Claimant") alleged that Respondents Prudential Bache Securities, Inc. ("Pru-Bache") and Earl R. Belts, Jr. ("Setts

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Goddard Associates, Inc. Claimant ) AWARD ) vs. ) CASE #89-01874 ) Paine Webber Jackson & Curtis, ) Inc. and Robert Peisner Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association Securities Dealers, Inc., ("NASD") on June 29, 1989. Claimant alleged breach of fiduciary duty, misrepresentation, fraud, and unjust

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William and Susan Ledy Claimants vs, Ignatius Teichberg Teichberg, Loeb, Waxman & Rabinowitz, Inc. Teichberg Securities, Inc. Pershing Division of Donaldson, Lufkin & Jenrette Securities Corp. Respondents Award Case 89-01873 Heard before: Murray I. Sommer, Esq. Public Arbitrator Arnold L. Goren Public Arbitrator Harry D. Frisch, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Dr. Richard J. Rose, as Trustee of the Richard J. Rose, M.O., P.A. Employees Money Purchase Plan and as Trustee of the Richard J. Rose, M.O., P.A. Employees Defined Benefit Plan Claimant vs. Gabelli & Company, Inc. Eduardo P. Lluria Douglas R. Jamieson Gamco Investors, Inc. Respondents CASE #89-01871 AWARD CASE SIM1ARY Claimant a

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In th« Matter of the Arbitration Between ROBERT J. and RITA P. SLATKOV, Claimantfl, vs. MERRILL LYNCH, PIERCE, FENNER 6 SMITH, INC., Reipondtnt. Case #89-01866 Award Heard before the Arbitrator: Leonard H. Davidson, Esq. CASE SUMMARY This claim wai filed with the NASD, Inc'. on June 28, 1989. The hearing was conducted in Port Lauderdale, Florida on April 10, 1990, with a total of o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Arthur Violetta, Jr. and Diane Violetta Claimants vs. Case *89-01862 AWARD Gruntal & Company, Inc. Respondents CASE SUMMARY Claimants Arthur and Diane Violetta alleged that they opened an Individual Retirement Account with Respondent Gruntal & Co., Inc. through one of their account executives. Claimants alleged that they were initially put i

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 99-02711 Olde Discount Corporation, claimant vs. Tysir S. Nasser and Amy Nasser, respondents. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, Michigan. Respondents Tysir S, Nasser and Amy Nasser ("Respondents") did not respond to the Statement of Claim. DATE FILED: 06/14

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between] Vincent Fargione Claimant(s) vs. 89-01859 Monmouth Investments, Inc. and Richard DeRose Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Vincent Fargione alleged that Respondent(s) Monmouth Investments, Inc. and Richard DeRose committed and unauthorized trade in Claimant's account held with Respondent. Respondent(s) deny Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ARBITRATION BETWEEN ) Lula M. Thomas and ) Kathleen G. Garlick, JTWROS ) Claimants ) AWARD vs. ) NASD Arbitration ) No. 89-01858 Jeffrey Wade Pinyon ) Michael John Landry ) Respondents ) * \ = S = S~ = SS35=SSKS33ZBXX3*S9SS5SSXS3SS = SS = X = 2SSV*ffVX*: VSS8 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 27, 1989 Cl