NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milton M. & Ruth J. Sperber Claimant(s) vs. Gliksroan Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03961 CASE SUMMARY Claimant(s) Milton M. & Ruth J. Sperber alleged that Respondent(s) Gliksman Securities, Inc. made trades that were unsuitable and failed to execute trades that were specifically requested. Respondent (s) maintain t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger Gay Smith Claimant(s) vs. 88-03960 J.W. Gant & Associates, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant alleges Respondent failed to buy an additional 500 shares of MCR Capital as ordered but instead sold Claimant's existing 500 shares. Respondent defends on the basis that it has re-purchased the 500 shares erroneousl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. & Betty J. Korsberg and Mary L & Gerald Remily Claimant(s) vs. The Illinois Company, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03959 CASE SUMMARY Claimant John L. & Betty J. Korsberg and Mary L. & Gerald Remily alleged that Respondent The Illinois Company, Inc. failed to execute their sell order in a timely manner. Additionally, th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02575 James M. Tarsy Names of the Respondents Hearing Site: Tampa, Florida Bear, Stearns & Co., Inc. James Michael Hubbert Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James M. Tarsy ("Tarsy") appeared pro se. For Bear, Stearns & Co., Inc. ("Bear Stearns") and James Mich

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03707 William and Suzanne Keller (consolidated with 05-03610 and 05-03619) Suzan and Carmen Latona Names of the Respondents Hearing Site: Atlanta, Georgia MidSouth Capital, Inc. Scott M. Zimmerman Mark David Hill David Alan Blume John Denny Margeson, Jr. Melanie Proctor Megenity John Baron, Jr. Jean Marie Baun

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02462 Jane D. Keeling Revocable Trust, claimant vs. BOSC, Inc., respondent. ATTORNEYS: Claimant Jane D. Keeling Revocable Trust ("Claimant") appeared Pro Se., Enid, OK. Respondent BOSC, Inc. ("Respondent") appeared through its Senior Vice President, Scott B. Grauer, Tulsa, OK. DATE FILED: 05/27/99 CASE SUMMARY: Claimant alleged that on April 12, 1999 Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-05467 James G. King, III Name of Respondent Hearing Site: Raleigh, North Carolina Scott & Stringfellow, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant James G. King, III ("King") appeared pro se. For Scott & Stringfellow, Inc. ("S & S"), hereinafter referred to as "Respondent": Paul D. Anders, Esq., Le

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02437 Georgia Capital Partners, Inc. Name of the Respondent Hearing Site: Orlando, Florida Norbert PJ Gilbert Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Georgia Capital Partners, Inc., hereinafter referred to as "Claimant": Eric Lee, Esq., Lee & Amtzis, Boca Raton, Florida. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03017 Juan Miguel Garcia Name of Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Juan Miguel Garcia, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miam

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05036 Dora Rodriguez Names of Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Janet Stamm Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dora Rodriguez, hereinafter referred to as "Claimant": Randall Place, Esq., Blum & Silver, LLP, Coral Springs, Florida. For Morgan Stanley DW, Inc