Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Derek J. Likowski, Claimant vs. Mrs. David Pearse "Kim" and NatCity Investments, Inc., Respondents. Case Number: 99-02618 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Derek J. Likowski, hereinafter referred to as "Claimant", was represented by Carter R. Dodge, Esq., of Cleveland, Ohio. Respondents, Mrs. David Pearse "Kim" ("Pearse") and NatCity Investments, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edgar Lepage Claimant(s) vs. 89-00977 Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Edgar Lepage alleged that Respondent(s) Don Arbital failed to execute a sell order. Respondent(s) maintain that Claimant requested that all his positions be sold at "dream-like" prices. Respondent then advised Claimant that he s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Arthur B. and Myran R. McCollum Claimant(s) vs. AWARD 89-00976 Prudential-BachG Securities, Inc. and Ron Mark Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Arthur B. and Myran R. McCollum alleged that Respondent(s) Prudential-Bache Securities, Inc. and Ron Mark mishandled Claimants' brokerage account held with Respondent.

Region. Volume. Number, NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. J. Ronald Clark i r Respondent ) AWARD CASE NO. 89-00975 SUMMARY OF ISSUES This case was filed on March 30, 1989. Claimant alleged that Respondent breached the terms of an account executive credit facility agreement and promissory note dated February 8, 1988, by failing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David E. Selby and JoAnn B. Selby JTWROS Claimant(s) vs. 89-00974 Power Securities Corp. and Merlin Hoving Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) David E. Selby and JoAnn B. Selby JTWROS alleged that Respondent(s) Power Securities Corp. and Merlin Hoving misrepresented material facts as to Claimants' investment w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert W. Vieira Claimant(s) vs. 89-00972 Don Arbital Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert W. Vieira alleged that Respondent(s) Don Arbital refused to execute a sell order by Claimant and refused to send a check to Claimant for the proceeds of the sale requested. Respondent maintains that he was not Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) EUGENE K. VESELKA ) Claimant ) v. ) NASD No. 89-00971 MAIN STREET SECURITIES, INC. ) MARK CHRISTIANSEN ) Respondents ) CASE SUKMARY Eugene K. Veselka ("Claimant") alleged that Main Street Securities, Inc. ("Respondent") failed to properly execute his order to sell shares of Inmedica. Respondent denied the claim. RELIEF REQUESTED Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Richard Hoffman Claimant vs. A.G. Edwards & Sons, Inc. Respondent CASE #89-00970 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 30, 1989, Claimant Richard Hoffman alleged the Respondent A.G. Edwards & Sons, Inc. did not perform the services it was hired to perform or performed the services

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Samuel G. Rosenthal, M.O. Elaine Rosenthal Claimants CASE #89-00966 AWARD vs. Prudential-Bache Securities, Inc. Respondent CASE SUWARY Claimants, Samuel G. Rosenthal, M.D. and Elaine Rosenthal, allege that they directed Respondent to place two Nuveen Tax Exempt Bond? which has an approximate value of $200,000.00 into a joint account for safekeeping

Arbitration N.A.S.D. AWARD National Association of Securities Dtaltr*. Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS Ne^Yor^Ne^York 10004 In the Matter of the Arbitration Between Thanas Gambino 89-00964 of Resondent s Greentree Securities Corp. Securities Settlement Corporation Allegiance Securities, Inc. Dominick & Dominick, Incorporated Individual's Securities, Ltd. Robert N. Kampfer Richard Allen Boxer