NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) NATHAN BRODIE AND BRODIES, INC. ) ) Claimants ) and ) CASE NO. 89-00008 ) PAINEWEBBER INCORPORATED AND SCOTT SMITH ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 6, 1989, Claimants Nathan Brodie and Brodies, Inc. ("Claimants") alleged that Respondents PaineWebber, Incorporated and Scott Smith ("Respondents") made

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) tHAKLL'j AND KAKtN VUN HUKitNAU / j Claimant(s) ) •id ) } CASE NO. 59-00005 BLINDER, ROBINSON & CO. ) . ) Respondent ) CASE SUMMARY In a claim filed on or about April 11, 1989, the Claimant's alleged, that the Respondent recommended the purchase of restricted stock in a company which the Respondent would be bringing public in the futu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Daniel Schofield Claimant ) ) vs. ) AWARD ) Atlanta-One Corporation Respondent } CASE NO. 88-03990 SUMMARY OF ISSUES Claimant alleged Respondent's broker misrepresented the risks of investing in foreign currency options by stating Respondent had a computer program which predicted with 70% accuracy the movement of foreign currencies. Claimant fur

N.A.S.D. AWARD NWICNRL ASSOCIXnON OF SWULUUTlfcl! DEALERS In the Matter o£ the Arbitration. Between Satya R. Sihder, Individually; Satya R. Sihder abd Sukla Sifcder; Satya R. Sikder as custorHan for 86-03986 O Hamiltcn, Grant & Co., Inc. Individual Securities Ltd. Mark G. Ross Ptar Claimant: Robert S, Moraxf, Esq. of Sctwartz, Tdbia & stanziale in Mantclair, New Jersey. Per Respondent hSark G. Ross: George H. T.lnrte, Esq. of White P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Roger Woo Claimants ) Loretta Woo ) vs. ) CASE NO. 88-03985 Drexel Burnham Lambert, Inc. Respondents John Dudzik Heard before: Martha K. Cunningham Barbara A. Brooks Andrew K. Leh SUMMARY OF ISSUES This case was filed on December 30, 1988. Claimants alleged that Respondents churned their account, bought unsuitable securities, engaged in unau

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02463 Prudential Securities Incorporated, claimant vs. Broadway Associates, Inc., and Dan Garber, respondents. ATTORNEYS: For Claimant Prudential Securities Incorporated ("Claimant"), Ralph S. Blascovich, Esq., First Vice President and Associate General Counsel for Prudential Securities Incorporated, San Francisco, California. For Respondent Broadway Assoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dynocite Ltd., ) Claimant ) Case 188-03974 vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) Respondent CASE SUMMARY Claimant, Dynocite Ltd., alleges that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc., failed to properly execute its order of October 20, 1987, to sell XMZWF November 1987/430 puts at 45 or better. Claimant also allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa Templeton Claimant(s) vs. AWARD 88-03969 Otra Clearing Inc. and Capital Securities, Inc Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Lisa Templeton alleged that Respondent(s) Otra Clearing Inc. and Capital Securities, Inc made an illegal trade. Respondent(s) deny all allegations of wrong doing. RELIEF REQUESTED Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gene Koscinski Claimant(s) vs. AWARD 88-03967 Kennedy Cabot & Co., Inc. Respondent(s} The Arbitrator, George R. Freund, 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 December 14, 1988 and February 21, 1989, respectively; A

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James A. Agostini Claimant(s) vs. 88-03965 Paul J. Montessoro, Dean Dierks, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ron Patterson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James A. Agostini alleged that Respondent(s) Paul J. Montessoro, Dean Dierks, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ron Patter