NATIQHAl ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03466 AWARD In the Matter of the Arbitration Between Steven J. Morris and Vlckl S. Morris Claimants vs. Charles Schwab & Company, Inc. Respondent CASE SUMMARY This proceeding was commenced initially on November 7, 1988 by Claimants Steven J. and V1cki S. Morris against Respondent Charles Schwab & Company, Inc. ("Schwab") and arises out of certain accounts held by Claimants from

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JOAN & JOSEPHINE QUACKENBUSH ) Claimant ) and ) )CASE NO. 88-03463 DEAN WITTER REYNOLDS, INC., ) PRUDENTIAL BACHE SECURITIES, INC., ) WILLIAM J. SADLER ) Respondents ) CASE SUMMARY Joan and Josephine Quackenbush ("Claimants") allege that Dean Witter Reynolds, Inc. ("Respondent Witter"), Prudential Bache Securities,Inc. ("Respondent Pru-Bach

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bette Hartog Claimant ) vs. ) CASE NO. 88-03462 ) Shearson Lehman Mutton, Inc. Respondents and Colleen Knerr SUWARY OF ISSUES Claimant filed this claim with the NASD on November 7, 1988 and alleged that the recommended investments including two limited partnerships, a real estate syndication, high yielding utility stocks, mutual funds and investment t

4 9 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Redwing Robin Limited Partnership vs. CASE 99-02504 Name of Respondents Southern Financial Group, Inc. Barton Clay Mercer REPRESENTATION Claimant, Redwing Robin Limited Partnership, hereinafter referred to as "Claimant": William S. Watts, Springfield, Virginia Respondent, Southern Financial Group, Inc. ("Southern"): Russell L. Forkey, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Newmarkets Limited Claimant(s) vs. Stover Glass & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 88-3460 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on November 1, 1988 and January 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Saeid Hariri Claimant vs. First Affiliated Securities, Inc. Respondent ) ) Award CASE NO. 88-03457 SUMMARY OF ISSUES This claim was filed on November 4, 1988. Claimant alleged: failure to transfer account from First Affiliated Securities, Inc. (FAS) to Pacific Brokerage Service (PBS) on April 20, 1988, failure to sell securities on May 3, 1988, fail

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John T. Michalski Claimant(s) vs. 88-3456 Blinder Robinson & Co., Inc. & Aaron Brown Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, John H.L. Estrange, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by John T. Michalski a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Garrett Cacciaguidi ) Barbara Cacciaguidi ) Claimants ) ) AWARD VS . ) ) NASD #88-03450 Discount Brokerage Service ) Financial Clearing & ) Services Corporation ) Respondents ) REPRESENTATION Claimants were represented by Steven M. Green, Esq., San Diego, California. Respondents were represented by Bradley D. Ross, Esq., of Sac

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATIONBETWEEN Dana C. Kent CLAIMANT vs. Shearson Lehman Brothers, Inc. Prudentia]-Bache Securities, Inc. Michael Prokop RESPONDENTS Case #88-03449 AWARD CASE SUWARY This proceeding was commenced initially on November 4, 1988 by Claimant Dana C. Kent ("Kent") against Respondents Shearson Lehman Brothers, Inc. ("Shearson"), Prudential-Bache Securities, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Estate of Walter Staiman vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant and ) Counter-Respondent ) ) Respondent and ) Counter-claimant ) Award CASE NO. 88-03356 Merrill Lynch. Pierce, Fenner & Smith, Inc. vs. Marvin Staiman Third-Party Claimant Third-Party Respondent Merrill Lynch, Pierce, Fenner &