NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marcia Farrell Granz Claimant(s) vs. 89-01822 Eric Monchecourt, Power Securities, Inc., and Pittock Financial Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marcia Farrell Granz alleged that Respondent(s) Eric Monchecourt, while employed by Power Securities Corp. made misrepresentations and used high pressure sales te

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey Christiaansen Claimant(s) vs. 89-01821 Shearson Lehman Hutton, Inc. and Tom Bauman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey Christiaansen alleged that Respondent (s) Shearson Lehman Button, Inc. and Tom Bauman failed to execute Claimant buy order for stock. Respondent(s) have not responded to Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the Arbitration Between ) Jeffrey Alan Feldman Claimant ) vs. ) AWARD Charles Schwab & Co., Inc. Respondent ) CASE NO. 89-01820 SUMMARY OF ISSUES This case was filed on June 23, 1989. Claimant Jeffrey Alan Feldman alleges that he entered into net credit spread S&P index option transaction on March 1, 1989. On March 16,- 1989, he was assigned on his short position. Claimant alleges th

NATIONAL ASSOCIATION OF SECURITIES DEALERS Iii. the 'Hatter of the Arbitration Between Nicholas and Marv Ann Shust Claimant(s) vs . Power Securities, Inc. and Sue McHuch Respondent(s) NOTICE OF ARBITRATION AWARD 89-01819 CASE SUMMARY Claimants Nicholas and Mary Ann Shust alleged that Respondent Power Securities, Inc. and Sue McHuch executed an unauthorized transaction in Claimants' accounts. Respondents did hot defend. RE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Barbara Mallardi vs. Claimant AWARD #89-01818 Blinder, Robinson & Co., Inc. Respondent Case Summary Claimant Barbara Mallardi alleged that Respondent Blinder Robinson & Co., Inc. executed unauthorized trades of common stock in her account and failed to correct the errors despite statements to do so by Respondent. Respondent Blinder, Robinson & Co., In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert T. and .Editha A. Hahn ) Claimants } vs. ) AWARD Merrill Lynch, Pierce Fenner ) & Smith, Inc., and Patrick ) F. Sinclair Respondents ) CASE NO. 89-01817 SUMMARY OF ISSPES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") .on June 23, 1989. Claimants alleged that the index options trading and strategies recom

N.A.S.D. AWARD { 1 NATIONAL ASSOCIATION OF SECURITIES DEALERS j In the Matter of the Arbitration Between ; Name of Michael Fountain and Anita Fountain 89-01813 of Respnocteni" * Smith Barney Harris Upham & Co. , Inc. Jeffrey Burrows Vincent Rossi In a claim filed with the National Association of Securities Dealers, Inc. ("NASD' 1 ) on or about June 15, 1989, Claimants Michael and Anita Fountain individually and on behalf of t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Baker Claimant(s) vs. 89-01809 Bradstreet Capital, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William B. Baker alleged that Respondent(s) Bradstreet Capital, Inc. committed unauthorized trades with respect to Claimant's account held with Respondent. RELIEF REQUESTED Claimant(s) William B. Baker requested

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC In the Matter of Arbitration Between) JIMMIE MARIE ADAMS Claimant v. KATHLEEN T. ROCK Respondent NASD No. 89-01808 CASE SttMARY In a claim filed on or about June 23, 1989 the Claimant alleged that the Respondent induced her to invest in unsuitable common stocks by misrepresentating the expected return (that they would double within 6 months to a year.) She further alleged that despite b

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yousef Amer and Reema Amer, (Claimants) vs. Josephthal & Co., Inc. and Nick Son, (Respondents) Case Number: 99-02708 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Yousef Amer and Reema Amer, hereinafter collectively referred to as "Claimants": Douglas R. Hirsch, Esq., Sadis & Goldberg LLC, New York, NY. Respondents, Josephthal & Co., Inc. ("Josephth