NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Micheie Renee Angulo f./k/a Micheie Renee Williams McKenneth Williams Claimants vs. CASE* 89-00159 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Ginger Roberts Carson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1989 Claimant Micheie Renee Angulo, f/k/a Micheie Renee W

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Christopher H. Meakin, (Claimant) vs. Charles Schwab & Co., (Respondent). Case Number: 99-02554 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Christopher H. Meakin, hereinafter referred to as "Claimant": pro se, Austin, Texas. Respondent, Charles Schwab & Co., hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles Schwab & Co., San Francisco, Cal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Pamela Anne Houle Claimant ) ) vs. ) AWARD ) Thomson McKinnon Securities, Inc. Respondents ) CASE NO. 89-00157 and L. H. Westdahl ) SUMMARY OF ISSUES This case was filed on January 17, 1989. Claimant Pamela Anne Houle alleges that Respondent Thomson McKinnon Securities, Inc., through its representative L. H. Westdahl, mishandled Claimant's broke

NATIONAL ASSOCIATION OF SECURITIES DEALERS -n the Matter or the Arbitration Between Janet Procunier . . vs. Claimant(3) 89-00155 Prudential-Bache Securities, Inc. and Ernest Dill Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Janet Procunier alleged that Respondent{s) Prudential- Bache Securities, Inc. and Ernest Dill did not handle Claimant's account in a prudent manner. Respondent(s) maintain that their

Arbitration L ASSOCIATION OF SECURITIES DEALERS, IMC National Association of Securities Dealers. Inc. • 20th Floor • 10 South LaSalle Street • Chicaeo. IL 60603-1002 • 312-899-4440 FAX 312-236-9239 In the Matter of the Arbitration Between ) ) ROBERT AND ANNE WALTER ) ) Claimant ) and ) ) CASE NO. 89-00151 FITZGERALD TALMAN, INC. ) ) ) Respondent ) CASE SUMMARY In a Claim filed on or about January 6, 1989 the Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert Baker } Claimant ) ) Case No. 89-00150 and ) Award ) Shearson Lehman Mutton, Inc. ) Respondent ) CASE SUMMARY Claimant Robert Baker alleged that Respondent Shearson improperly liquidated 2,000 shares of Miniscribe Corporation stock in his margin account in November 1987. He also alleges misrepresentation and nondisclosure of the m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher A. Hogan Claimant(s) vs. 89-00148 Jeffrey Lieungh and Gulfstream Financial Association, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Christopher A. Hogan alleged that Respondents Jeffrey Lieungh and Gulfstream Financial Association, Inc. made several unauthorized transactions resulting in a loss of $4,695.70

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Adrian M. Bianconi Claimant(s) vs. 89-00143 Capital First Securities Respondent(s} NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Adrian M. Bianconi alleged that Respondent(s) Capital First Securities mishandled Claimant's account held with Respondent. Respondent(s) has not responded to Claimant'a allegations. RELIEF REQUESTED Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maurine H. Pennington 89-00142 O ; C? NamBofRgsDQnQtentls,! ' "^ f_jr* ' ^_ Merrill Lynch, Pierce, Fenner & Smith " " ~ ""* Nicholas F. Stafford In a claim filed with the NASD on or about January 23, 1989, Maurine Pennington ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. and Nicholas Stafford ("Respondents"): recc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Richard P. & Joannee M. Steubinger Claimant(s) vs. 89-00136 Blinder, Robinson & Co., Inc. and Debra McGuire Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. & Joannee M. Steubinger alleged that Respondent (s) Blinder, Robinson & Co., Inc. and Dsbra McGuire made gross misrepresentations concerning stock purchases. R