NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between/Among * Charlene Axelrod as Custodian for Deborah Axelrod * & Robert Charles Axelrod * Claimant(s) CASE * #89-00231 AWARD vs. * Prudential-Bache Securities, Martin Krull and * Jeffrey Krull * Respondents. CASE SUMMARY Claimant(s), Charlene Axelrod as Custodian for Deborah Axelrod and Robert Charles Axelrod, alleged that Respondent, .Jeff

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jana Olson & William Collins Claimants ) ) vs. ) AWARD Brennan Ross Securities, Inc. Respondents ) CASE NO. 89-00228 and William Strong SUWARY OF ISSUES This case was filed on November 29, 1989. Claimants alleged Respondent Strong represented to Claimant that an investment in C-Net, Inc. would be guaranteed by Brennan Ross Securities, Inc. and that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paul Farkas, O.D., T.W. Kanalow, 0.0. and Barry Farkas, O.D., P.C., vs. Claimants Case #89-00224 Award The Dreyfus Corporation and The Bank of New York, ) ) Respondents ) ) CASE SUMMARY Claimant alleges that they had a Government Series account and a New Leaders Series account with the Dreyfus Corporation and that on September,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael K. DePasguale Claimant(s) vs. 89-00219 John J. Connolly Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Michael K. DePasquale alleged that Respondent John J. Connolly made unauthorized trades. Respondents did not respond. RELIEF REQUESTED Claimant Michael K. DePasquale requested damages of One Thousand Eight Hundred Sev

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between W. Richard Barnhart, attorney-in-fact for Audrey Henry Barnhart Claimant(s) vs. 89-00217 PaineWebber, Inc. and Ronald Walchack Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) W. Richard Barnhart, attorney-in-fact for Audrey Henry Barnhart alleged that Respondent(s) PaineWebber, Inc. and Ronald Walchack mishandled an inve

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Roxie French ) Claimant ) ) . AWARD vs. ) ) NASD *89-00214 Norman Kaufman and ) Professional Brokerage ) Services, Inc. ) Respondents ) ; ) 5UHMARY OF ISSUES This case was filed -itii cne Nacj.onai Association of Securities Dealers, Inc. '"MASD") on January 24, 1989. Claimant alleged that Respondents recommended and transacte

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dennis L. Barton Claimant(s) vs. 89-00212 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dennis L. Barton alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. did not determine whether Claimant was suitable as an investor of Respondent's recommended investments a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gladys M. Cause Claimant(s) vs. 89-00211 Thomson McKinnon Securities, Inc. and Stan Griner Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gladys M. Gause alleged that Respondent(s) Thomson McKinnon Securities, Inc. and Stan Griner committed unauthorized transactions with Claimant's account. Respondent (s) deny Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Manuel J. Paikeday vs. Jeffrey A. Wood Claimant Respondent CASE 189-00203 AWARD CASE SUMMARY Claimant Manuel J. Paikeday alleges that Respondent Jeffrey A. Wood grossly misinformed Claimant concerning investments of blind pool entities in the penny stock market and related bid and ask prices thereto and that Claimant relied upon Respondent's mis

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Dorothy Gross Beam Claimant ) ) vs. ) AWARD Wedbush Securities, Inc. and Respondents ) CASE NO. 89-00201 Rosemary Shannon ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 17, 1989. Claimant alleged that Respondents made misrepresentations and failed to disclose the risky and speculat