AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dan Calabria and 99-02484 Tampa, Florida Name of Respondent Franklin/Templeton Distributors, Inc. REPRESENTATION OF PARTIES Dan Calabria ("Claimant") was represented by Allan J. Fedor, Esq. and Franell Fedor, Esq., Fedor & Fedor, Largo, Florida. Franklin/Templeton Distributors, Inc. ("Respondent") was represented by Francis M. Curran, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Klotz, (Claimant) vs. Electronic Trading Group, LLC, (Respondent) and Electronic Trading Group, LLC, (Claimant) vs. Richard Klotz, (Respondent) Case Number: 00-01008(consolidated w/00-01492) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard Klotz ("Klotz"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Electronic Trading G

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) ) Bernice Baron ) ) Claimant(s) ) ) vs. ) CASE #88-03207 ) Smith, Barney Harris Upham & Co. } AWARD and ) Gregory Newsome ) Respondent(s) CASE SUMMARY Claimant Bernice Baron invested $50,674.74 in a GNMA fund through Respondents Smith Barney and Gregory Newsome. Claimant alleges that she wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Shukin Claimant(8) vs. Stuart-Jamea Co., Inc. and Ron Siniscalchi Respondent(s) NOTICE OF ARBITRATION AWARD 88-03189 CASE SUMMARY Claimant{s) Michael Shukin alleged that Respondent(s) Stuart-James Co., Inc. and Ron Siniscalchi misrepresented material facts as to investments with Respondent. Respondent(s) deny Claimant's allegations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A. G. EDWARDS & SONS, INC., vs. MATTHEW HIRSCHHORN, Claimant, ) Case #88-03188 Respondent. Award Heard before the member of the Arbitration Panel: Arnold Y. Steinberg, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on October 13, 1989. The hearing was conducted in Fort Lauderdale, Florida on September 11, October 5 and 31, 1989 w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald D. Peikes Claimant(s) NOTICE OF ARBITRATION AWARD vs. 88-03187 Individual's Securities Ltd (f/k/a Hamilton Grant 6 Co., Inc.) Respondent(s) i , _i CASE SUMMARY Claimant(s) Ronald D. Peikes alleged that Respondent(s) Individual's Securities Ltd (f/k/a Hamilton Grant & Co., Inc.) committed unauthorized trades in Claimant's acc

DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN James E. & Margaret J. Shrader Clainiants vs. The Pinnacle Group, Lee Folger III and J.C. Bradford & Company Respondents Case #88-03182 AWARD Claimants James E. & Margaretxf. Shrader ("Claimants") alleged that Respondents The Pinnacle Group, IncX("Pinnacle") and Lee Folger III ("Folger") failed to follow Claimant James Sfefader's instructions and executed unauthorized transaction

N.A.S.D. AWARD NKL-IONRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Merrill Lynch Pierce Fenner & Smith, Inc. 88-03178 Gary E. Bullock Valuta V. Bullock In a claim filed with the National Association of Securities Dealers r Inc. ("NASD") on or about October 14, 1988, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. alleged that Respondent Gary B. Bullock and Valoa V. Bullock purchased common st

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Owen J. McEnaney Claimant Case #88-03173 vs. Douglas J. Ferrigno & WZW Financial Services, Inc. O.R. Securities, Inc. and Stein, Abbott & Co. Respondents AWARD CASE SUMMARY Claimant, Owen J. McEnaney alleged he informed Respondent, Douglas J. Ferrigno he had no knowledge or ability to make investment decisions and that Respondents invested h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mollie Lustman Claimant(s) vs. 88-03172 Larry Wolcott Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Mollie Lustman alleged that Respondent Larry Wolcott mishandled her account. Additionally Mollie Lustman alleged that Larry Wolcott never sold her stock in December 1987. RELIEF REQUESTED Claimant Mollie Lustman requested damag