N.A.S.D. AW&RD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Joe B. Huffhines Claimant and Rauscher Pierce Refsnes, Inc. and ~ r - wyatt Carr, Jr. Respondents In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 1, 1989, the Estate of Joe B. Huffhines ("Claimant") alleged that Rauscher Pierce Refsnes ("Rauscher") and Wyatt Carr, Jr. (

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dain Rauscher Incorporated, Claimant vs. Shamaz Mayginnes, Respondent. Case Number: 99-02584 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Dain Rauscher Incorporated ("DRI"), hereinafter referred to as "Claimant": Ronald Kravitz, Esq., Zelle, Hofmann, Voelbel & Gette, LLP, San Francisco, California; and David M. Fogel, Esq., Dain Rauscher Incorporated, Mi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sally Cassedy Rachford Claimant vs. AWARD #89-00628 John P. McEvoy Jeffrey liter Louis Carmichael Respondent Case Summary Claimant Sally Cassedy Rachford (hereinafter "Claimant") alleged that Respondents John P. McEvoy, Jeffrey Titer and Louis Carmichael (hereinafter "Respondents") placed Claimant in speculative and unsuitable investments with

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas J. Gentile Claimant vs. Cowen & Company Ernest Mishne - Respondents CASE #89-00626 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1989 the Claimant Thomas J. Gentile alleged the Respondents violated suitability requirements by encouraging the Claimant to open a margin acco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ^ARBITRATION BETWEEN Marmelo Farms, Inc. Claimant vs. Case #89-00620 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. and George G. Riles Respondents CASE 5UWARY This proceeding was commenced initially on March 23, 1989 by Jeffrey D. Peterson, Vice President of Southern Plantations, Inc., on behalf of Claimant Marmelo Farms, Inc. ("Marmelio") against Respondents Merri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis DeVries Claimant(s) vs. 89-00616 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Louis DeVries alleged that Respondent(s) Dean Witter Reynolds, Inc. made misrepresentations and delayed liquidation. Respondent(s) deny all allegations. RELIEF REQUESTED Claimant(s) Louis DeVries requested damage

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) LLOYD AND GAIL KAISER ) ) Claimants ) and ) ) CASE NO. 89-00615 BLINDER, ROBINSON & CO., INC. AND ) MARK BOYLE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 27, 1989, Claimants Lloyd and Gail Kaiser, ("Claimants") alleged that Respondents Blinder, Robinson and Co., Inc. and Mark Boyle (collectively as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, A************************* In the Matter of the Arbitration Between * N.C. Harrison, Jr. Claimant vs. #89-00605 Smith Barney, Harris Upham & Co., Inc. * J.C. Bradford and Co., inc. * Respondents * * * *************************** CASE SUMMARY Claimant alleged that Respondents purchased securities for Claimant's accounts without authorization that consisted of stock- unsuitable f

W10HAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between LOUIS BERNSON Claimant v. PRUDENTIAL 8ACHE SECURITIES, INC. Respondent AWARD NASD NO. 89-00580 SUWARY OF THE CASE Louis Bernson ("Claimant") alleges that at the end of 1986 his Keough plan had an account with Prudential Bache Securities, Inc. {"Respondent"), which held a certificate for 6,158 shares of Putnam High Yield Trust ("Putnam"). In January

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry Wayne Wiley Claimant vs. AWARD #89-00578 Morgan Gladstone Investment Bankers, Inc. Respondent Case Summary Claimant Jerry Wayne Wiley alleged he placed an order on June 5, 1987 with Respondent Morgan Gladstone Investment Bankers, Inc. to sell 8,000 shares of American Assurance Underwriters Group, and that Respondent failed to execute his order.