NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth T. Kaliski Claimant(s) vs. 89-00963 Ronnie Lasek and Stuart James Company, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Kenneth T. Kaliski alleged that Respondents Ronnie Lasek and Stuart James Company, Inc. mishandled his account. Respondents maintain that the Claimant's argument is inconsistent and that they a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dain Rauscher, Inc.*vs. Fred Hoffman Case Number: 99-02615 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimant, Dain Rauscher, Inc.: David M. Fogel, Esq., Dain Rauscher, Inc., Minneapolis, MN. Respondent, Fred Hoffman: James J. Moylan, Esq., Amstein & Lehr, Chicago, IL. CASE INFORMATION Statement of Claim filed by Claimant, Dain Rauscher, Inc. on or about

Arbitration National Annotation at SvcurttlM D«ai«r», inc. N.A.S.D. AWARD 425 Ca "fo™» St.. flm - 140 ° San Francisco. CA 94104 (415) 781-3343 FAX' (4151 3629946 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of naiTnanl-.s Dale T. Melgaard Marina R. Melgaard 89-00960 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. James A. Perez 5HMMMCT OP

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark Lisnyansky Claimant(s) vs. J.T. Moran & Co. Respondent(s) NOTICE OP ARBITRATION AWARD 89-00959 CASE SUMMARY Claimant(s) Mark Lisnyansky alleged that Respondent(s) J.T. Moran & Co. made misrepresentations concerning investment return and failed to invest Claimant's funds in a new issue as instructed. Respondent(s) maintain that Claimant fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane C. Lambert Claimant(s) vs. 89-00956 Daniel J. Cooper, Felton Skipper, John Plum and John Bander Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Diane C. Lambert alleged that Respondents Daniel J. Cooper, Felton Skipper, John Plum and John Bander negligently mishandled Claimant account held with Respondents. Respondents de

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (sA Chayn Mousa 89-00950 of Resondent f s Prudential-Bache Securities Inc. Sam Lewis Fred Mecklenburg CASE] STflMARY In a Statement of Claim filed with the NASD on March 29, 1989, Claimant Chayn Mousa alleged that Respondent Lewis convinced Claimant to open a securities account with Respondent Prudential-Bache in August

-*-v~*** N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Beo*ieen Name of Clainantfs) Peggy Boerner Arbitration National Association of Securities Dealer*, inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-444Q 89-00947 Narre of Re dental Stuart James Company, Inc. and Gary Fierce CBSS In a Statement of Claim filed with the NASD on March 28, 1989, as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between D.H. Pratt Claimant(s) vs. 89-00942 Michael B. Barnd Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) D.H. Pratt alleged that Respondent(s) Michael B. Barnd made misrepresentations. Respondent(s) denies all allegations of wrongdoing. RELIEF REQUESTED Claimant(s) D.H. Pratt requested damages of One Thousand Five Hundred Tw

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. Smith and Deborah B. Smith JTWROS vs. Claimant(s) 89-00939 Power Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. Smith and Deborah B. Smith JTWROS alleged that Respondent(s) Power Securities Corp. made unauthorized transactions. Respondent(s) did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter A. and Karen R. Lindquist JTWROS Claimant(s) vs. Blinder, Robinson & Co., Inc. and Thomas Christoffersen Respondent(s) NOTICE OP ARBITRATION AWARD 89-00936 CASE SUMMARY Claimant(s) Peter A. and Karen R. Lindquist JTWROS alleged that Respondents) Blinder, Robinson & Co., Inc. and Thomas Christoffersen made material misrepresentations