NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02426 Empire Financial Group, Claimant vs. John McClarin, Respondents. ATTORNEYS: Claimant Empire Financial Group, Inc. ("Claimant"), appeared through its Compliance Officer, Randy Cupples, Longwood, FL. Respondent, John McClarin, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: May 26, 1999 CASE SUMMARY: Claimant alleged that Respondent knowingly and fraudule

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia J. Shampo Claimant(s) vs. Carl Birkelbach and Birkelbach Investment Securities Respondent(s) NOTICE OF ARBITRATION AWARD 88-03826 CASE SUMMARY Claimant(s) Patricia J. Shampo alleged that Respondents) Carl Birkelbach and Birkelbach Investment Securities made unauthorized trades and was "churning" her account. Respondent(s) maintain tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David S. Gelb Claimant vs. AWARD #88-03823 Bear, Stearns & Co., Inc. Kenneth S. Ispass Robert Abbott Respondents Case Summary Claimant David S. Gelb (hereinafter "Claimant") alleged that when his account was transferred to Respondent Bear, Stearns & Co., Inc. (hereinafter "Bear Stearns") his account transferred to Respondent Robert Abbott (her

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Will M. Larkin Claimant(s) vs. 88-03821 Shearson Lehman Hutton Respondents) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Will M. Larkin alleged that Respondent(s) Shearson Lehman Hutton made misrepresentation with respect to an investment. Respondent (s) maintains that they are not responsible for any losses incurred by the Claimant. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nino P. Cerniglia Claimant vs. AWARD #88-03813 Merrill Lynch, Pierce, Fenner S Smith, Inc. Respondent Case Summary Claimant Nino P. Cerniglia alleged that Respondent Merrill Lynch, Pierce. Fenner & Smith, Inc. failed to execute orders to sell common stock on October 19, 1987, misrepresented the amount of commission dHscounts that he would receive and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Presto Claimant(s) vs. Atlanta Securities & Investments, Inc. and Beverly N. Puckett Respondents) NOTICE OP ARBITRATION AWARD 88-03879 CASE SUMMARY Claimant Bonnie HcOermott alleged that Respondents Atlanta Securities & Investments Inc. and Beverly N. Puckett provided erroneous information concerning Claimant's account. RELIEF REQUES

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Laurence A. Nighosian Claimant(s) vs. 88-03873 Robert Thomas Securities, Inc. Respondent. (s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Laurence A. Nighosian alleged that Respondent(s) Robert Thomas Securities, Inc. charged excessive commissions on certain trades. Respondent(s) denied all claims. RELIEF REQUESTED Claimant(s) Lau

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Craig G. Goodman Claimant(s) vs. 88-03869 Rhonda Ford and Oberweis Securities Respondent: (s) AWARD 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 Claimant on December 19, 1988 and not by the Resp

NATIONAL ASSOCIATION or SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ROCCO PAGLIARULO and STEVE TEMPKIH, vs. PAUL KEILEY. JOE D'ANGELO and ANTHONY STOISICH, Claimants, Respondents. Case /88-03850 Award Heard before the member of the Arbitration Panel; Richard Reeves, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 16, 1988. The hearing was conducted in Tampa, Florida on December 12,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Albert G. Martin Margit B. Martin VS. Blinder Robinson & Co., Inc. Claimants Respondent AWARD CASE # 88-03847 SUWARY OF ISSUES This case was filed with the NASD on December 16, 1988. Claimants alleged Respondent misrepresented the highly speculative nature of the common stock of ISYS Technology and its unsuitability for purchase by Claimants. Respondent alleged that no misrepresentatio