NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Virginia B. Smith Claimant(s) ) ) AWARD vs. ) CASE NO. 88-03570 Michael Wong and Merrill Respondent(s) ) Lynch, Pierce, Fenner & Smith, Inc. ) CASE SUMMARY The claim in this matter was filed on November 15, 1988. Claimant alleged that she is unsophisticated and inexperienced in the area of buying and selling securities. She alleged that she took her portf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between r Laurie Nolan and Curren Coco Name of Respondent/s} Blinder Robinson & Co., Inc. Collins Roussell 88-03568 Heard before the natters of the Arbitration Panel: Daniel E. Bivina, ill Public Arbitrator Gerald E. Siefken Public Arbitrator Worrell F. Trimble Industry Arbitrator This matter was initiated by a Statement of Claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Jacqueline Berry Claimant vs. Case #88-03567 AWARD Bay City Securities, Lane, McNally & Jackson, Inc. and Michael Jenkins Respondents CASE SUMMARY This proceeding was commenced by the Claimant Jacqueline Berry ("Berry") to recover damages from the Respondents Bay City Securities ("Bay City"), Lane, McNally & Jackson, Inc. ("Lane McNally") and Mi

H.A.C.D. MMTP Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (si William C. Johnson 88-03566 of Reapor Nations! Association of Securities Daators. Inc. Suite 1680 Thr«e First National Plaza Chicago, IL 60602 1312) 899-4440 J) FIDELITY INVESTMENTS F CASE SMART William C. Johnson ("Claimant") alleged that Fidelity Investments ("Respondent") neglig

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. and Marjorie E. Kohl Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-03562 Ziegler Thrift Trading, Inc. Respondent(s) • CASE SUMMARY Claimant (s) Edward J. and Marjorie E. Kohl alleged that Respondent(s) Ziegler Thrift Trading, Inc. failed to execute a sell order in a timely fashion. Respondent(s) denies Claimants' allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Rafael Cerbon Claimant VS. Merrill Lynch, Pierce, Fenner & Smith, inc. Monarch Life Insurance, Co. Kay-Beth Vietti Joe Van Parys Respondents ) ) Award ) ) ) NASD No. 88-03560 ) ) ) ) ) ) ) ) ' ) ) SUMMARY OF ISSUES This case was filed on October 25, 1988. Claimant alleged the following: misrepresen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. ) ) Claimant ) and ) ) CASE NO. 88-03559 CHARLES BOILES ) ) Respondent ) ) CASE SUMMARY In a claim filed with the NASD on November 11, 1988, Claimant PaineWebber, Inc. ("PaineWebber") alleges that Respondent Charles Boiles incurred a debit balance in the amount of $5,013.37 in his account as a consequence of placin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joyce E. & John H. Drewanz Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith/ Inc. and William T. Emory Respondent(s) NOTICE OF ARBITRATION AWARD 88-03556 CASE SUMMARY Claimant Joyce E. & John H. Drewanz alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. and William T. Emory improperly executed an order. Respondents mainta

H.A.3.D. NAHCKBVL ASSOdAXICN OF SBCDRTTIES DEALERS la the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Harold W. Steele, Marcia Steele and Ruth Wood, tzustees for B.S. Die & Engineering, Inc. Profit Sharing Plan and Trust Harna of Raspoadents E.P. Button & Ccnpany, Inc. Shearson Tiftfinan Brothers, Inc. 88-

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert L. Schneider and Barbara Schneider Claimants vs. Case #88-03551 AWARD Shearson Lehman Mutton, Inc. and Sheryl Steinhart Respondents CASE SUWARY In a case filed with the National Association of Securities Dealers, Inc. on November 14, 1988 Claimants, Robert L. and Barbara Schneider alleged Respondents invested their funds into a real e