N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norma Shaw 89-00131 Nans of Rogporyto Dean Witter Reynolds/ Inc. Donald Azvid Peterson Alfred L. Caliendo Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr. Harry Polansky Mr. Stanley Jaf fee CASE SUMMARY This claim was filed with the NASD, Inc. on January 23, 1989. The hearing was conducted in Fort La

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STANLEY L. SCHMIDT, ) Claimant, ) ) Case /89-00120 vs. ) Award F. D. RC3ZFTS, INC., LEONARD TUCKER, ) DEAN VERNOIA and JERRY JUDKOWITZ, ) Respondents. ) Heard before the Arbitrator: Marilyn 3. Cane, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on January 12, 1989. The hearing was conducted in Fort Lauderdale, Florida on April 27,

NASD Dispute Resolution, Inc. Arbitration No. 99-02547 consolidated with 99-02548 Award Page 2 of 5 CASE SUMMARY Claimants asserted the following causes of action: Breach of Contract, Failure to Pay Commissions, and Violation of the Illinois Wage Actions Act. The causes of action relate to respective voluntary terminations of each of the Claimants, Unless specifically admitted in its Answer, Respondent denied the allegations made in the Statement of Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01011 David J. Froode and Dianne J. Froode JTTEN, Claimants vs. TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, through David J. Froode, West Linn, OR. For Respondent appeared Janis Campanella, Esq., Assistant Counsel, Waterhouse Securities, Inc., New York, NY. DATE FILED: March 7, 2000 CASE SUMMARY: Claimant alleged that after he placed

NATJONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Karen Davis and Randi Watson JTTEN Claimant(s) vs. 89-00119 A.F. Green & Co., Inc. and Mark Stern Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Karen Davis and Randi Watson JTTEN alleged that Respondent(s) A.F. Green & Co., Inc. and Mark Stern misrepresented to Claimants material facts with respect to Claimant's investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James and Kay Moustakis Claimant(s) vs 89-00117 Merrill Lynch Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants James and Kay Moustakis alleged that Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. negligently mishandled Claimants account held with Respondent. Respondent denies Claimants allegat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Edward D. Eckert, ) Claimant, ) ) Case #89-00100 vs. ) Award Dean Witter Reynolds, Inc. and ) Jeffrey Jerome, ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Guthrie F. Crowe Mr. Thomas E. Swenson Mr. Carl J. Hegner CASE SUMMARY This claim was filed with the NASD, Inc. on January 17, 1989. The hearing was conduct

ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Sandison and Marie A. Sandison vs. Claimant(s) 89-00098 Stuart-James Co., Inc. and Terry Brint McNeal Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) George F. Sandison and Marie A. Sandison alleged that Respondent(s) Stuart-James Co., Inc. and Terry Brint McNeal made misrepresentations. Respondent(s) maintain that the Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Foy Claimant(s) vs. Van Kampen Merritt Respondent(s) NOTICE OF ARBITRATION AWARD 89-00097 CASE SUMMARY Claimant(s) Michael J. Foy alleged that Respondent(s) Van Kampen Merritt provided insufficient disclosure with respect ot prospective Respondent sponsored investors quality tax-exempt trust. Respondent(s) maintain that legal and adequa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CAROL RUTBERG, Claimant, Case 189-00096 vs. Award STUART JAMES COMPANY, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Roger C. Benson Allan J. Fedor, Esq. Mr. Willard E. Fawcett CASE SUMMARY This claim was filed with the NASD, Inc. on January 9, 1989. The hearing was conducted in Tampa, Florida on December