NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Case #89-01497 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Abrenam and Ruth Haim Claimants vs. Monmouth Investments, Inc., Seen? itiis Settlement Corp. Am, Trenton Respondents CASE SUMMARY Claimants Abraham and Ruth Haim alleged that Respondent Ann Trenton, an employe? of Despondent Monmouth Investment';, !"c., failed to execute their sell order for 2000 shares of Seres Industri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jan Pitcher vs. Claimant(s) 89-01492 Prudential-Bache Securities, Inc., Shirley Ward and Don Kelly Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jan Pitcher alleged that Respondent(s) Prudential-Bache Securities, Inc., Shirley Ward and Don Kelly misrepresented facts concerning commission charges. Respondent(s) deny all allegati

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00946 Margaret Bercik FAO Mark and Margaret Bercik Margaret Bercik FAO Brian and Margaret M. Bercik Margaret M. Bercik FAO Margaret Jones and Margaret Bercik Margaret M. Bercik FAO Lynn Cooper and Margaret Bercik Margaret M. Bercik and Peter Bercik JTWROS Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00872 Rudolph C. Baier Names of the Respondents Hearing Site: Washington, D.C. Ehrenkrantz King Nussbaum, Inc. George Tamborello Michael Sackstein Anthony Ottimo Thomas Giugliano Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Rudolph C. Baier, hereinafter referred to as "Claimant",

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01593 James Reid, an individual Susan J. Reid, an individual Names of the Respondents Hearing Site: Orlando, Florida Cambridge Investment Research, Inc., a corporation Mutual Service Corporation, a corporation La Salle Street Securities Inc., a corporation Securities Service Network, a corporation Scott Olson, an individu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Freeman and Marion J. Freeman Claimant(s) vs. 89-01489 Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert E. Freeman and Marion J. Freeman alleged that Respondent(s) Fidelity Investments negligently mishandled Claimants' account held with Respondent. Respondents) denies Claimants' allegatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Usha and Virji Hingrajia Claimant(s) vs. 89-01484 Charles Schwab & Co., Inc. and Jeanette Szucsansky and Pat Cooper Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Usha and Virji Hingrajia alleged that Respondent{s) Charles Schwab & Co., Inc. and Jeanette Szucsansky and Pat Cooper mishandled their account. Respondent(s) main

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Albert K. Hanna, (Claimant) vs. Janney Montgomery Scott Inc. and Christopher T. Kline, (Respondents) Case Number: 99-02684 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Albert K. Hanna, hereinafter referred to as "Claimant": Steven R. Goldberg, Esq., a sole practitioner, New York, NY. Respondents, Janney Montgomery Scott Inc. ("Janney**) and Christop

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Rodeo Maritime Company, S.A. Claimant vs. Shearson Lehman Mutton, Inc. arid E.F. Hutton (France) S.A.R.L. ResDondents Case #89-01480 AWARD CASE SUMMARY Claimant Rodeo Maritime Company, S.A. ("Rodeo") claims against Respondents Shearson Lehman Hutton, Inc. ("Shearson") as successor in interest to E.F. Hutton & Company, Inc. and E.F. Hutton ("Fran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Joseph Jachetta ) Lucy Jachetta Claimants ) vs. ) AWARD Judy & Robinson Securities Inc. ) CASE NO. 89-01477 Paul Hanson Respondents ) SUMMARY OF ISSUES Claimants alleged Respondents invested their funds in limited partnerships and real estate investment trusts which were not suitable for their financial status, investment objectives and station