NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas A. Sullivan trust for Katie Sullivan vs. PaineWebber, Inc. and James Burk Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03914 CASE SUMMARY Claimant Thomas A. Sullivan trust for Katie Sullivan alleged that Respondents PaineWebber, Inc. and James Burk made an unauthorized transaction. Respondents maintain that Claimant purchase

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Johnson and Ruth A. Johnson Claimant(s) vs. William S. Cozine and Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03910 CASE SUMMARY Claimant George F. Johnson and Ruth A. Johnson alleged that Respondent William S. Cozine and Prudential-Bache Securities, Inc. misrepresented material facts concerning

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jonathan Wanderstock vs, Timothy P. MacNeill Claimant AWARD Respondent CASE #88-03903 CASE SUMMARY During the period in question, Claimant Jonathan Wanderstock maintained a brokerage account with Smith Barney. Respondent Timothy MacNeill was Mr. Wanderstock's account executive. Claimant alleges that without prior authorization on May 27, 1987, R

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven J. Bonifas, (Claimant) vs. Prudential Securities Incorporated and Christopher W. McDonagh (Respondents). Case Number: 99-02414 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Steven J. Bonifas ("Bonifas"): Peter J. Berman, Esq., Peter J. Berman Ltd., Chicago, Illinois. Respondent Prudential Securities Inc. ("Prudential") and Christopher W. McDonagh ("McDonagh"

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dora L. Kachin Claimant(s) vs. 88-03884 Richard Grabowski Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Dora L. Kachin alleged that Respondent Richard Grabowski ignored her instructions for a "risk-free" investment. Respondent maintain that Claimants investment was exposed to "risk" so basic that any investor could be expected to

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jay E- Goldstein and Sharon Goldstein Claimant(s) vs. Greentree Securities Corp, Respondent(s) AWARD 88-02997 The Arbitrator, Thomas J. Hawekotte, Esq., 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 November 1, 1988 and n

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Hemeed Akhtar vs. Claimant Case #88-02992 AWARD Buttonwood Securities Corp. George Hotz Merrill Lynch, Pierce, Fenner & Smith, Inc. Broadcort Capital Corp. Respondents CASE SUWARY Claimant Heroeed Akhtar ("Akhtar") claims against Respondents Buttonwood Securities Corporation ("Buttonwood") and George Hotz ("Hotz"), arise out of a certain

- -. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. hi the Matter of the Arbitration Between ) Zofia Sierpinski ) Claimant ) ) Case #88-02988 vs. ) Award ) Laiienbery, Thalmann & Co., Inc. ) Respondent ) ) CASE SUMMARY Claimant alleges that, upon Respondent's recommendation, she invested an inordinately large percentage of her portfolio in the shares of Capitol Bank- corporation and that this was not a "conservative investment nor

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Philip OeLuca and C. Dean Bityk v. Daniel Peter Thomas, Jr., North American Financial Group, Inc., and North American Financial Services, Inc. Case Number: 99-2409 Hearing Sits: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, C. Dean Bityk ("Bityk") and Philip DeLuca ("DeLuca") hereinafter collectively referred to as "Claimants": Anthony V, Trogan, Esq., Weisman, Trogan, Young

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Dr. Gerald N. Smemoff and Myma Smernoff Claimant(a) vs. Thomson McKinnon Securities, Inc. and Douglas Sobel Respondent(s) AWARD 88-02975 The Arbitrator, Thomas J. Hawekotte, Esq./ 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 par