NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. in the Matter of the Arbitration Between) Henry Blair ) Claimant ) ) AWARD VS . ) ) NASD #89-01508 Merrill Lynch, Pierce, Fenner ) & Smith, Inc. ) Randall Stender ) James T. Quade ) Respondents ) ) SUMMARY OF ISSUES Claimant alleged Respondents misrepresented certain facts concerning his margin account, particularly the buying power it held on specific dates and the tim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ELEANOR LORRAINE HERNANDEZ Claimant ) and ) ) CASE NO. 89-01507 DAVID FUTRANSKI, CARL BITLER and ) FIRST AMERICAN CAPITAL RESOURCES, INC. ) ) Respondents ) CASE SUMMARY Eleanor Lorraine Hernandez {"Claimant") alleges that First American Capital Resources, Inc. ("Respondent First American"), David Futranski ("Respondent Futranski"), Carl Bit

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant vs. Yl H. and Jin O. Kim Respondents OATH AND AWARD OF ARBITRATOR 89-01506 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties/ I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William R. Blanck Claimant(s) vs. 89-01505 Power Securities Respondent(s) SOTICB OP ARBITRATION AHARD CASE SUMMARY Claimant(s) William R. Blanck alleged that Respondent(s) Power Securities manipulated the price of the stock. Respondent(s) has been out of business and did not respond to Claimant's allegations. RELIEF REQUESTED Claimant (s) Will

Arbitration NATIONAL ASSOCIIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cl^imprf-s William & Angeline Dietrich vs National AMOCiation of Securtiftt Outers, (ne. NASD Financial Center 33 Whitehall Street New York, New rork 10004 Case # 89-01504 Janney Montgomery Scott, Inc., Gateway Financial Group, Inc. and Donald J. Settina Heard before the members of the Arbitration Panel: Mama F

Arbitration National AaaocMtan ot SacurMM DMtorv, Ine. NASD Financial Canttr 33 Whttahall StrMt NATIONAL ASSOCIATION OF SECURITIES DEALERS, INO^ewYof*.N«wYork 10004 In the Matter of the Arbitration Between Charles Yassky Claimant vs. Case: 89-01502 AWARD Hickey, Kober Inc. Paul Hickey and Steven Blankstein Respondents CASE SUMMARY Claimant alleges respondents made unauthorized purchases of Fertilachron Inc. in his account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DAVID BUDIN, Claimant, vs. INDIVIDUAL SECURITIES, LTD. STEPHEN SCHWARTZ. DOMINICK & DOMINICK, INC.. and DOMIKICK INVESTIOR SERVICES CORPORATION. Respondents. Case #89-01501 Award Heard before the member of the Arbitration Panel: Marina Shank-Klein. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on Hay 18, 1989. The hearing

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lee R- Piper, Claimant v. Salomon Smith Barney, Respondent Case Number: 99-02686 REPRESENTATION OF PARTIES For Claimant; Claimant represented himself For Respondent: Respondent Salomon Smith Barney, Inc. was represented by Shannon Hobbs, Vice President, Human Resources Generalist, and Nancy Aly, Service Center Manager, First Vice President. Neither party was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) ROGER J. and GENEVIEVE N. KEMPA ) Claimant(s) ) Case (< o. 89-01500 and ) ) FIRST MOMTAUK SECURITIES CORP. and ) RON PEXARCHIK ) Respondent(s) ) CASE SUWARY tn a statement of claim filed with the NASD on May 18, 1989; Claimants Roger J. Kempa and Genevieve M.-Kempa alleged that Respondents failed to execute a sale of company warrants when

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arthur Samuels, Sr. and Claimants ) Dee Samuels ) VS. PaineWebber,Inc. and Stephen H. Akin Respondents ) AWARD CASE NO. 89-01498 SUMMARY OF ISSUES Claimants alleged that Respondents recommended and placed their funds in investments in common stocks and covered options calls which were unsuitable given their financial position and objectives, e