NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David B. Peterson Claimant(s) vs. 89-01050 Wall Clearing Co., j Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David B. Peterson alleged that Respondent(s) Wall Street Clearing Co., executed on unauthorized transaction in Claimants' account. RELIEF REQUESTED Claimant(s) David B. Peterson requested damages of that the debit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MARJQRIE A. 8RANN ) ) Claimant ) and ) ) CASE NO. 89-01058 MERRILL LYNCH. PIERCE, FENNER & ) SMITH, SMITH BARNEY, HARRIS, UPHAM ) & CO., INC. et al. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on April 7, 1989, Claimant Marjorie Brann alleged as follows: that she opened an account with Respondent M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Douglas H. Jensen Claimant ) vs. ) Kennedy, Cabot & Co. Respondent ) Heard Before the Members of the Arbitration Panel: Jack I. Samet, Esq. Robert G. Sether David N. Mahler AWARD CASE NO. 89-01057 SUMMARY OF ISSUES This case was filed on April 7, 1989. Claimant alleged that Respondent failed to execute a sell order in April 1987 of 110,000

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) JOSEPH H. WALKER, ) Claimant, ) ) Case J89-01055 vs. ) Award ) RALPH LOFFREDO and ) INVESTORS CENTER, INC., ) Respondents. ) ) Heard before the member of the Arbitration Panel: James R. Kennedy Jr., Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on April 7, 1989. The hearing was conducted in Tampa, Florida on February

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Traian J. Pop Claimant(s) vs. 89-01053 J.W. Gant & Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Traian J. Pop alleged that Respondent(s) J.W. Gant & Associates, Inc. executed unauthorized transactions in Claimant's account. Respondent(s) maintain that the account executives responsible are no longer emplo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Robert Rosario Claimant ) vs. ) AWARD Fahnstock & Co., Inc. Respondent ) CASE NO. 89-01049 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 7, 1989. On April 29, 1988, Claimant placed a good until cancelled order with Respondent to sell 20,000 shares of Pacific Energy Resources at $3.00 per shar

NASID Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. New York 10004 In the Matter of the Arbitration Between Narne of William and Maybelle Shrader vs 89-01047 Name of Respondents Walter Mueller Burtis Hackett Heard before: Public/Industry D. Joan Sampieri Public Claimants - Pro se Respondent

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Gerald B. Goodman Phyllis Goodman Arnold F. Rothman Case No. 99-02625 Names of Respondents Noble International Investments, Inc. Wayne R. Home Craig R. Cohen REPRESENTATION OF PARTIES For Arnold F. Rothman ("Rothman") and Gerald B. Goodman and Phyllis Goodman ("Goodman"), hereinafter also referred to as "Claimants": Richard A. Steph

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Edward C. Mendez and Nancy Coparaso Mendez Claimants vs. Equitable Securities of New York, Inc. David W. Appel, Jr. Respondents vs. James J. Lorenzo First Albany Corporation John T. McLauahlin Third Partv Respondents CASE '89-01046 AWARD CASE SUMMARY Claimants, Edward C.Mendez and Nancy Coparaso Mendez ("Claimants") alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, If- 1 . In the Matter of the Arbitration Between/Amona i Claire Fischl Claimant Case -89-01042 AWARD vs. Arbitrage Securities Company Respondent CASE SUWARY This claim was filed on April 6. 1989. Claimant, Clair that Justin Colin, the registered representative employee Arbitrage Securities Company, failed to properly and exi securities in her portfolio as instructed. Claimant furthe