Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Randall C. Reading, Claimant v. E*Trade, Inc., Respondent Case Number: 99-02523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Randall C. Reading: Randall C. Reading In Pro Per Redlands, California For Respondent E*Trade, Inc.: Thomas V. Reichert, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond C. Cullen III Claimant(s) vs. 88-03546 Eastern Capital Securities, Inc., Steven Schwartz and Wall Street Clearing Co. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Raymond C. Cullen III alleged that Respondent Eastern Capital Securities, Inc., Steven Schwartz and Wall Street Clearing Co. made misrepresentations and so

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) James H. OeVoe Claimant ) ) AWARD ) vs. ) CASE NO. 88-03544 ) P.B. Jameson Co., Inc. Respondent ) ) SUWARY OF ISSUES This case was filed on Nov. 14, 1988. Claimant alleges that mishandling and delays in delivery of stock certificates purchased by Claimant from Respondent resulted in losses due to Claimant's inability to sell at a favorab

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tfatter of the Arbitration Between ) Name of Claimant:(s) ) Sally H. Kofman ) ) Case No. 89-03539 ) Dean Witter Reynolds, Inc. ) Robert R. Wachholder ) Heard, before the members of the Arbitration Panel: Casey W. Hills, Esq. Arnold Sarrow Edward S. Boslow III CASE SUMMARY This claims was filed with the NASD, Inc. on December 18, 1989. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen W. Edgell Claimant vs. Carole Haynes First Potomac Securities, Corp. Swan Securities, Inc. Securities Settlement Corp. Respondents AWARD #88-03538 Case Summary This proceeding was commenced by the Claimant Kathleen W. Edgell {"Edgell") against the Respondents Carole Haynes ("Haynes"), First Potomac Securities, Corp. ("First Potomac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert J. Jaske Claimant(s) vs. Griffin Financial Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Robert J. Jaske alleged that Respondent Griffin Financial Services delayed in transferring Claimants funds pursuant to a sale of shares and when the transfer was implemented, the wrong amount was credited to Claimant's account. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) HANS-HERMAN BOCK ) ) Claimant ) and } ) CASE NO. 88-03535 R. 8. MARICH, INC. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about November 14, 1988, the Claimant Hans-Herman Bock ("Bock") alleged that in November 1986, the Respondent R. B. Marich, Inc. ("R. B. Marich") transferred his account to another brokera

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred Schwarz Claimant vs. Shearson Lehman Hutton, Inc. Richard Stein Respondents CASE #88-03532 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 14, 1988, Claimant Fred Schwarz alleged Respondent Richard Stein was negligent and otherwise breached his fiduciary duties to Claimant by failing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Geraldine Smarr Claimant(s) vs. Dennis Powell, Lincoln National Life Insurance Co., and MPS Lifetime Mutual Fund Respondent(s) NOTICE OP ARBITRATION AWARD 88-03524 CASE SUMMARY Claimant(s) Geraldine Smarr alleged that Respondent(s) Dennis Powell, Lincoln National Life Insurance Co., and MFS Lifetime Mutual Fund failed to inform the Claimant of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leon Meyers, Claimants vs. Shearson Lehman Hutton, Inc., Respondent Case 188-03523 Award CASE SUMMARY Claimant alleges that Respondent ignored his specific instructions and put 10,000 shares of Farmers' Group, Inc. into his account pursuant to put options which Claimant alleges were back-timed or backdated. As a result of Respondent's action, Cl