Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Summit Financial Services Group, Inc., (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Deena Kobrin, Daniel Shainheit, and Terry Axel, (Respondents) Case Number: 00-00110 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Summit Financial Services Group, Inc. ("Summit"), hereinafter referred to as "Claimant" : Richard F. Collier, Esq. , and Chris

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Washington Claimant(s) vs. AWARD 88-03954 Larry Weil Respondent(s) The Arbitrator, Lucia Edwards, 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 20, 1988 and February 28, 1989, respectively; And, tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frederick A. and Patricia A. Kilbourn vs. Claimant(s) AWARD 88-03950 A.G. Edwards & Sons, Inc. and Randall J. Kiessel Respondents) { 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 Decem

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marc Levin Claimant ) vs. ) CASE NO. 88-03948 Charles Schwab & Co., Inc. Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on December 28, 1988 and alleged that Respondent improperly cancelled trades in his account after providing verbal confirmation of execution. Specifically, Claimant alleged that on December 28, 1987 he placed a serie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03944 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Martin A. Drop Claimant vs. Prudential-Bache Securities, Inc. and David Terpoilli Respondents CASE SUWARY Claimant Martin D. Drop ("Drop") alleged that he entered into a broker- client relationship with Respondent David Terpoilli ("Terpoilli") at Dean Witter Reynolds, Inc. ("Dean Witter"). Claimant alleged that Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacquelyn Reinach Claimant vs. Margaretten Securities Corporation Ellen Margaretten Burton Blank Respondents AWARD #88-03943 Case Summary Claimant Jacquelyn Reinach alleged that Respondents exposed her to great risks by executing unsuitable options trades in her account. Claimant further alleged that the investments made by the Respondents includi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PHYLLIS A. MAHER, vs. F. N. WOLF & CO., INC., SHARON L. JOHNSON, FRANKLIN WOLF. ROCHELLE WOHL. Claimant, Respondents. Case 188-03941 Award Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Ms. Judy Avey Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on December 27, 1988. The

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) EKKEHARO SAHM ) Claimant(s) ) and ) ) CASE NO. 88-03939 R. B. MARICH, INC. ) Respondent (s) CASE SUMMARY Ekkehard Sahm ("Claimant") alleged that R. B. Marich, Inc. ("Respondent") made certain misrepresentations to the Claimant in order to induce the Claimant to make a $125,000 bridge loan to ACSI in order to help facilitate a merger between AC

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank P. Taulli Claimant(s) vs. Paul J. Scholtes Respondents) NOTICE OF ARBITRATION AWARD 88-03938 CASE SUMMARY Claimant Frank P. Taulli alleged that Respondent Paul J. Scholtes failed to execute a sell order in a timely manner. Respondent maintains that claimant did not tell him to sell his stock but to wait and see if he could get a higher price

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeanette T. Ella Claimant(s) vs. Mike Cooper & Merrill Lynch Pierce Fenner & Smith Inc. Respondent(s) AWARD 88-03935 The Arbitrator, George R. Freund, having been 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. And, that