NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gareth E. and Carol W. Weeks Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01610 CASE SUMMARY Claimant(s) Gareth E. and Carol W. Weeks alleged that Respondent{s) Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to follow instructions. Respondent(s) denies any and all allegations of wrong

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -_-? Arbitration Between JAMES G. WATRIS3 ) ) Claimant(s) ) Case No. 89-01605 and ) MERRILL LYNCH, PIERCE, FENNER ) & SMITH, INC. *m WILLIAM G. RYAN, JR. Respondent(s) CASE SUMMARY In a claim "led with the NASD on or about June I, 1989, Claimant James G. Watriss ("Claimant") alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and William G.

MAY 1 R NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chang Ho Lee Claimant vs. AWARD #89-01601 Dean Witter Reynolds, Inc. Respondent Case Summary Claimant Chang Ho Lee alleged that Respondent Dean Witter Reynolds, Inc. failed to execute Claimants instructions to sell SmlthKline-Beckaan options on two occasions. When the options were eventually sold by Dean Witter Reynolds, Inc., Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Denis M. Crowley (Claimant) vs. David L. Witherbee (Respondent) Case Number: 99-02703 REPRESENTATION OF PARTIES Claimant, Denis M. Crowley, hereinafter referred to as "Claimant," appeared pro se, Respondent, David L. Witherbee, hereinafter referred to as "Respondent": Matthew J. Kadnar, Esq., LPL Financial Services, Boston, Massachusetts CASE INFORMATION Statement of C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ali S. Zaza Claimant(s) vs. John Finn & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01596 CASE SUMMARY Claimant(s) Ali S. Zaza alleged that Respondent(s) John Finn & Co. negligently mishandled Claimant's order to purchase stock. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) Ali S. Zaza requested damages of Fou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) j Jeffrey A. Gordon Claimant ) ) vs . ) AWARD ) Bear Stearns & Company Respondent } CASE NO. 89-01592 SUMMARY OF ISSUES Claimant alleged Respondent improperly cancelled and re- billed his order to sell shares of Dart Group Corporation two days after settlement, creating an unsecured debit balance in his account . Claimant alleged Respondent ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerald A. Valentine, Trustee Claimant(s) vs. 89-01587 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (a) Jerald A. Valentine, Trustee alleged that Respondent (s) Edward D. Jones & Co. was charging excessive commissions. Respondent(s) maintain that the transaction was an "at risk" transaction and like any othe

XX NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between E. Tyrone and Esther Brown Claimant(s) vs. 89-01586 Momnouth Investment Inc., Securities Settlement Corp. and Kevin T. Tighe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) E. Tyrone and Esther Brown alleged that Respondent(s) Monmouth Investment Inc., Securities Settlement Corp. and Kevin T. Tighe made unauthorized t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cornell A. Pezzino Claimant(s) vs. 89-01568 Thomas F. White & Co., Inc. and Sonia Schultz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Cornell A. Pezzino alleged that Respondent(s) Thomas F. White & Co., Inc. and Sonia Schultz executed a trade for the purchase of stock at a price not agreed upon by Claimant. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mae E. Bush Claimant(s) vs. 89-01563 Fitzgerald, Tainan, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mae E. Bush alleged that Respondent(s) Fitzgerald, Talman, Inc. forged Claimant's signature on a stock certificate. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s) Mae E. Bush requested damages of Two Th