NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) MARGARET F. COKE ) Claimant ) v. ) NASD NO. 89-00700 PRUDENTIAL-BACHE SECURITIES, INC. ) JAMES P. CLARK and RICHARD P. ARCHBOLD ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about March 13, 1989, Claimant Margaret F. Coke ("Claimant") alleged that Respondents Prudential- Bache ("Pru-Bache"), J.P. Clark ("Clark"), and Richard Pete

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John and Florence Wallace Claimant(B) vs. 89-00690 Citicorp Brokerage, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John and Florence Wallace alleged that Respondent(s) Citicorp Brokerage, Inc. failed to deliver certain stock certificates as repeatedly requested by Claimant. Respondent(s) maintain that Claimants suffered

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Curtis Beachum II Claimant(s) vs. AWARD 89-00688 Scottsdale Securities, Inc. and Roger Riney Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) James Curtis Beachum II alleged that Respondent(s) Scottsdale Securities, Inc. and Roger Riney negligently mishandled Claimant's brokerage account held with Respondent. Respondent(s) de

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between R. Paul Mikulas Claimant(s) vs. AWARD 89-00684 Richard Blackman & Co. and Tom Leonard Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) R. Paul Mikulas alleged that Respondent(s) Richard Blackman & Co. and Tom Leonard negligently mishandled Claimant's account held with Respondent. Respondent(s) maintain that they acted fairly and wi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) OPPENHEIMER 4 CO., INC. ) ) Claimant ) and ) ) CASE'NO. 89-00682 GREGORY HARRINGTON ) ) Respondent ) CASE SUMMARY Oppenheimer & Co., Inc. ("Claimant") alleged that Gregory Harrington ("Respondent") owed the Claimant for the debit balance which exists in the Claimants account. The Claimant alleged that the debit balance arose when the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter Builard Claimant(s) vs. 89-00677 Masa Ellis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Peter Builard alleged that Respondent(s) Masa. Ellis mishandled his account. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant(s) Peter Bullard requested damages of Two Hundred Twenty Three Dollars and Ninety-Five

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lillian Dawn Denham Claimant vs. Blinder, Robinson & Co., Inc. Respondents OATH AND AWARD OF ARBITRATOR 89-00676 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 marriage to

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Carol Pally Claimant vs. Prudential-Briche Securities, Inc. and Irving Smiley Respondents Case f89-00674 AWARD CASE SUMMARY Claimant Carol Pally alleged that Respondents Prudential-Bache Securities, Inc. ("Pru-Bache") and Irving Smiley ("Smiley") breached their fiduciary and contractual obligations owed to the Claimant by executing transactions

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Brian I. Brown Claimant(s) vs. 89-00672 Stephen H. Rosenberg Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Brian I. Brown alleged that Respondents) Stephen H. Rosenberg made misrepresentations concerning trading practices and track record in account management. Respondent(s) did not defend. RELIEF REQUESTED Claimant (s) Br

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Geraldine Salvatorelli Claimant(s) vs. 89-00671 Vanderbilt Securities, Financial Clearing Services Corp., J.T. Moran & .Co, Dick Buonocore, Dennis Jordan, et al Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Geraldine Salvatorelli alleged that Respondent(s) Vanderbilt Securities, Financial Clearing Services Corp., J.T.