NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) OBERWEIS SECURITIES, INC. ) ) Claimant ) and } ) CASE NO. 88-02815 PENELOPE & DENA ANDREWS ) ) Respondents ) CASE SUMMARY Oberweis Securities, Inc. ("Claimant") alleges that Penelope and Dena Andrews ("Respondents") made purchases and sales of securities pursuant to several agreements with Claimant. Claimant alleges that every at

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward H. Adams Claimant vs. AWARD #88-02806 Blinder, Robinson & Co., Inc. Paul David Miller Thomas Gregg Holloway Respondents Case Summary Claimant Edward H. Adams alleged that Respondents Blinder, Robinson & Co., Inc., Paul David Miller and Thomas Gregg Holloway placed the Claimant into three unsuitable penny stocks: American Dynamics Corp., Dix

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant(s) ) vs. ) CASE NO. 88-02802 John P. Bui en Respondent(s) ) Heard Before the Members of the Arbitration Panel: Owen G. Smith Robert A. Haveman Robert H. Maloney SUMMARY OF ISSUES The claim was filed September 1, 1988. Claimants alleged that Respondent entered into a Cash Account Agreement and a Margin and Short

Award NASD Regulation, Inc. In the Matter of the Arbitration Between JA Trading Ltd., The Irish News Ltd. (Claimants) vs. Meyers Pollock Robbins, Inc. Michael Ploshnick, Shelli Ploshnick, Sameh E. Sharabi (Respondents) Case No. 99-02384 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, JA Trading Ltd. and The Irish New Ltd., hereinafter collectively referred to as "Claimants": Richard S. Missan, Esq. from the law offices of Richard S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alvin Gandal Claimant vs. Daley Securities, Inc. and Wedbush Securities, Inc. Respondents Case #88-02800 Case Summary In the Statement of Claim which was filed with the National Association of Securities Dealers, Inc. on September 1, 1988 the Claimants alleged that Respondents breached the fiduciary duty owed the Claimants by failing to follow instruc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harold R. Decker. ) Claimant, ) ) Case 188-02799 vs. ) Award Shearson Lehman Hutton, Inc., ) John L. Ballard IV and ) Tom Worley, ) Respondents. ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Marvin M. Morgenstern, Esq. Mrs. Sharon S. Pettit CASE SUMMARY This claim was filed with the NASD, Inc. on September 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 88-02797 Lisa M. Maley Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Lisa M. Maley owes Claimant for securities purchased on Respondent's behalf. Respondent did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., In

NATXONAX. ASSOCIATION OF SBCURITIBS DEALERS, INC. la the Mattsr of the Arbitration B«tw«*a ) QUS AND MARIA STAVROPOULES , JAMBS AND MART ) PBITE, WOLVERINE CARBIDE DIE COMPANY AND ) ITS EMPLOYEES PROFIT SHARING TRUST ) ) CONSOLIDATED Claimant («) ) CASK NOS. 88-00820, and ) 8S-OOM2, £ ) SS-0279« LAWRENCE D. BIRNBATJM AND BEAR ) STEARNS ft CO., INC. > tespoadsnt(B) ) James and Mary Pulte, Qua and Karia Stavropoules, Wolverine carbide

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between JAMES H. HARRINGTON, JR. V. DEAN WITTER REYNOLDS, ALBERT O'NEAL Claimant INC. Respondents ) ) ) ) NASD No. 88-02791 CASE StttfKRY This claim was filed on August 29, 1988 and amended February 23, 1989 and October 23, 1989. The claim originally named S. Erik Johnston "Johnston" as a respondent but his bankruptcy filing resulted in an a

NATIONAL ASSOCIATION OF SECURITIES DEALERS^IWL IN THE MATTER OF THE ARBITRATION BETWEEN T. Scott Richter, individually and as a for the Sprayberry Animal Hospital Pension Trust... Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. John F. Fisher Respondents Case #88-02790 AWARD CASE SUMMARY This proceeding was commenced initially on August 30, 1988 by Claimants T. Scott Richter individually and as Trustee for the Sprayberr