N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of^the Arbitration Between of Claimantfs McDonnell Douglas Capital Corporation 88-03793 Name of Respondent (5) ..,- 1 JQQI Southmark Financial Services, Inc. _ :WION-CH!CAGO In a Claim filed with the National Association of Securities Dealers, Inc. {"NASD") on or about December 9, 1988, Claimant McDonnell Douglas Capital Corporation ("McDonnell Douglas") alleged that Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay & Jocelyn Alvarez Claimants vs. AWARD #88-03786 Philips Appel & Walden, Inc. Stanley M. Dicker Respondents Case Summary Claimants Jay and Jocelyn Alvarez (hereinafter "Claimants") alleged that Respondent Stanley M. Dicker (hereinafter "Dicker") placed Claimants into unsuitable investments and alleged that Dicker churned Claimants' account. Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kelvin W. Mills and Carrie A. Mills Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03784 CASE SUMMARY Claimant(3) Melvin W, Mills and Carrie A. Mills alleged that Respondents) Merrill Lynch, Pierce-, Fenner & Smith, Inc. negligently mishandled Claimants' account held with Respondent.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. The Pinnacle Group, Inc. Claimant v. J. Rutledge Lawson, Caroline B. Lawson, Geoffrey A. Lawson, G.L.H. Properties, William D. Gilmore, Jr. James W. Hayes, Respondents v. The Robinson-Humphrey Company - Inc., Shearson Lehman Brothers, Inc., Lee A. Folger, III Third-Party Respondents A.W.A.R.D #88-03782 CASE SUMMARY The Statement of Claim was filac. on December 8

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John (Giovanni) Granata, (Claimant) vs. The Prudential Insurance Company of America, Pruco Securities Corporation, and Joseph Gebbia (Respondents) Case Number: 99-02446 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, John (Giovanni) Granata ("Granata"), hereinafter referred to as "Claimant": Edward F. Broderick, Jr., Esq., Monistown, NJ. Respondents, The Pru

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth W. Derr Wilbur Derr Thomas L. Derr Claimants vs. Blinder Robinson & Co., Inc. Aaron Brown Respondents CASE #88-03777 AWARD CASE SUWARY / Claimants Kenneth W. Derr, Thomas L. Oerr and Wilbur Derr (collectively, the "Claimants") alleged that the Respondent Aaron Brown made various misrepresentations as to the value and nature of th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) K. Karl Showrai Claimant ) vs. ) Charles Schwab & Co., Inc. r Respondent ) AWARD CASE NO. 88-03767 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 5, 1988. Claimant K. Karl Showrai claims that he made certain buy and sell orders with Respondent Charles Schwab & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ROBERT PEPE, Claimant, vs. DEAN WITTER REYNOLDS and JOHN BABITSKAS, Respondents. Case J88-03762 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Michael A. Coco Douglas Delano;, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on December 8, 1988. The hearing was conducted in Fort Lauderdale, Florida

NATIONAL ASSOCIATION Of SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RONALD E. ERICKSON ) ) Claimant ) v. ) CASE NO. 88-03842 ) AWARD RAFCO FINANCIAL CORPORATION, ) f.n.a. PITTOCK FINANCIAL CORP. ) ) Respondent ) On May 18, 1989, in Minneapolis, Minnesota, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on December 7, 1988 by the Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Storch, Jr. Claimant(s) vs. 88-03831 Shearson Lehman Hutton and Marty Sadkin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant William B. Storch, Jr. alleged that Respondents Shearson Lehman Hutton and Marty Sadkin provided false and misleading information with respect to Claimant Investment with Respondents. denies Cl