NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ROBERT J. (c CHARLOTTE M. WINE, ) Claimants, ) ) Case 189-00315 vs. ) Award ) BLINDER. ROBINSON & COMPANY, INC., } Respondent. ) ) Heard before the members of the Arbitration Panel: Guthrie F. Crowe George R. Canty, Jr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD. Inc. on February 2, 1989. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rickardo Plummer Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-00312 Paul Codispot-.i Respondent(s) CASE SUMMARY Claimant(s) Rickardo Plummer alleged that Respondent(s) Paul Codispoti did not execute Claimant's sell order at an agreed price. Respondent(s) denies liability since Claimant's securities are traded in negotiated market and the sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RICHARD M. GOLDSTEIN & JEFFREY S. TANEN, ) TRUSTEE. GOLDSTEIN & TANNEN, P.A. PROFIT SHARING. } ) Claimants. ) ) Case /89-00309 vs. ) Award ) THOMSON MCKINNON SECURITIES. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: Mr. Guthrie F. Crowe Ms. Judy Avey Mr. Terrence W. Grant CASE SUMMARY This cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Richard Tom Claimant ) vs. ) AWARD East/West Securities and Respondent ) CASE NO. 89-00303 Q&R Clearing Corp. ) SUMMARY OF ISSUES This case was filed on January 30, 1989. Claimant alleged Respondents East/West Securities ("EAST/WEST") were negligent when, after informing him of a margin call in his account, they failed to credit the checks he had de

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00302 James T. Puglisi Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) James T. Fuglisi has an unpaid balance on his account with Claimant. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab 6 Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joan Dunlop Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Michael Moran Respondents CASE# 89-00301 AWARD a Ul In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1989, Claimant Joan Dunlop alleged the Respondents made material misrepresentations to the Claimant knowing they were false and om

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between June C. and Edward S. Chlan Claimant(s) vs. Stephen S. Duklewski, Jr. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00300 CASE SUMMARY Claimant(s) June C. and Edward S. Chlan alleged that Respondent(s) Stephen S. Duklewski, Jr. owes them interest on their account balance. Respondent (s) maintain that interest was legitimately held per PaineWebber i

MAR 19 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Warren J. Moore vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Case Summary AWARD #89-00291 Claimant Warren J. Moore (hereinafter "Claimant") alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ,(hereinafter "Respondent") committed gross negligence in its failure to supervise the activities of Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) EDWARD B. AND BETTIE L. BOYER, ) Claimants, ) CASE 169-00286 ) AWARD vs. ) MERRILL LYNCH. PIERCE. FENNER fc } SMITH. INC. and JOHN C. NEWSOM. } Respondents, ) Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Mr. Paul Roquet Ms. Barbara Dinaburg CASE SUMMARY This claim was filed with the NASD. Inc. on January 3

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Roberts Claimant(s) ARBITRATION vs. AWARD 89-00283 Rosemary Grady and Amerimutual Corp. Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Charles F, Roberts alleged that Respondent(s) Rosemary Grady and Amerimutual Corp. sold shares of stock for less than the price quoted. Respondent(s) did not respond. RELIEF REQUESTED Claimant(