NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In th* Matter of the Arbitration Between ) ) JOSEPH J. STRONKO. ) Claimant, ) ) Case #89-01725 vs. ) Award ) BLINDER ROBINSON 6 CO., INC. and ) HUGH FLANNIGAN, ) Respondents. ) ) Heard before the member of the Arbitration Panel: George S. Coit Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on June 14, 1989. The hearing waa conducted in Tampa, Florida on Jun

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02705 Olde Discount Corporation, claimant vs. Lisa R. Gerren, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq. of Olde Discount Corporation. Detroit, ML Respondent Lisa R. Gerren ("Respondent"), appeared Pro Se., Hollywood, FL. DATE FILED: June 14, 1999 CASE SUMMARY: Claimant alleged that it incurred a debit

FILE copy nAY Oft Rtfn ' y oa REED NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary 0. Bandoh Claimant vs. AWARD #89-01723 Smith Barney Harris Upham & Co., Inc. Gail Dunbar Respondents Case Summary Claimant Mary 0. Bandoh alleged that Respondents Smith Barney, Harris, Upham & Co., Inc. and Gail Dunbar opened a margin account for the Claimant without authorization and placed the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Steve Schwartz Claimant(s} vs. 89-01721 Vanguard Discount Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Steve Schwartz alleged that Respondent(s) Vanguard Discount Brokerage Services made misrepresentations. Respondents) deny any and all allegations of the Claimant. RELIEF REQUESTED Claimant(s) Steve

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrance F. and Jacqueline G. Colegate Claimant(s) vs. 89-01716 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Terrance F. and Jacqueline G. Colegate alleged that Respondent (a) Blinder, Robinson & Co., Inc. made misrepresentations with respect to the "Putnam High Income Government Trust". Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Sheldon L. Goldstein, Trustee Claimant ) ) NASD No. 89-01714 vs. ) Dean Witter Reynods, Inc. Respondents Alan R. Lyons SUWARY OF ISSUES This case was filed on June 12, 1989. Claimant alleged the following: misrepresentation, non-disclosure of material facts, negligence and failure to properly supervise

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas H. Olsen Suzanne F. Olsen vs. Dean Witter Reynolds, Inc. Jack James Oscar Ryder Janice Hughes Claimants Respondents CASE* 89-01658 AWARD For Claimants: For Respondents: REPRESENTATION Frank J. Rooney, Esq. of the law firm of Frank J. Rooney & Associates. K. Stewart Evans, Jr.', Esq. of the law firm of McGuire, Wood

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William C. Lonon and Marie E. Lonon vs. Claimant(s) 89-01655 Kenneth Nightingale and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William C. Lonon and Marie E. Lonon alleged that Respondent(s) Kenneth Nightingale and Wall Street Clearing Co. misrepresented material facts as to Claimants' investmen

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Virginia C. Smith Claimant(a) vs Blinder/ Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01653 CASE SUMMARY Claimant(s) Virginia C. Smith alleged that Respondent(s) Blinder, Robinson & Co., Inc. failed to execute a trade. Respondent(s) maintain that Claimant's losses, if any, were caused or contributed to by Claimant's own fault

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Korzilius Claimant(s) vs. Power Securities Co., Dave Blake and Jeff Smith Respondent(s) NOTICE OF ARBITRATION AWARD 89-01642 CASE SUMMARY Claimant(s) Jack Korzilius alleged that Respondent(s) Securities Co., Dave Blake and Jeff Smith lost Claimant's certificates. Respondent{s) did not defend. Power stock RELIEF REQUESTED Claim