NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) CLARENCE E. AND GAIL W. GEIGER, ) Claimants, ) ) Case J88-OZ737 vs . ) Award ) DEAN WITTER REYNOLDS, INC. AND ) LEE GILLOCK. ) Respondents, ) Heard before the members of the Arbitration Panel Jackson L. Morris. Esq. Mr. William R. Paul Ms. Allison Hardage CASE SUMMARY This claim was filed with the NASD, Inc. on August 29, 1988. T

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Andreas David Bothe, Trustee for Claimant ) Santa Fe Insurance Agency Defined ) Benefit Pension Plan ) AWARD ) vs. ) CASE NO. 88-02735 ) Devon Dahl Respondent ) SUWARY OF ISSUES This case was filed on August 29, 1988. Claimant alleged the following: misrepresentation regarding the sale of 20,000 shares of Multiphonic Corporation from Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter Of Arbitration Between ) ) DUANE, MILDRED and CURT SORRELLS ) Claimants ) v. ) NASD NO. 88-02733 EDWARD D. JONES & CO., INC. ) GARY ALEFF ) Respondents ) CASE SUWARY Duane Sorrells, Mildred Sorrel Is and Curt Sorrel Is ("Claimants") alleged that Edward 0. Jones & Co., Gary Aleff and Mark Burnsides ("Respondents") fraudulently misrepresented material information regarding

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between MARILYN C. MONCUS Claimants v. NASD NO. 88-02730 AWARD MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondent On Friday, April 28, 1989, in Nashville, Tennessee, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on August 24, 1988 by Claimant Marilyn C. Moncus and on November 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Claimants ) Case #88-02719 Frank Martorella and Angele Sereing, vs. ) Award Mikal & Co., Inc., Respondent CASE SUMMARY Claimants allege that their broker, a registered representative employed by Respondent, made fraudulent misrepresentations about the price of stocks and provided their with unsuitable investment advice which caused then to suffer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) VIRGINIA HARRIS ) Claimant ) and ) CASE NO. 88-02714 DEAN WITTER REYNOLDS, INC. AND JAMES TALLEN Respondent CASE SUMMARY In a claim filed with the NASD on August 25, 1988, Claimant, Virginia Harris alleged that she was a naive and unsophisticated investor who was led to believe that Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and James

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Patricia Angel Case No. 99-02378 Name of Respondent American Fronteer Financial Corp. REPRESENTATION OF PARTIES For Patricia Angel ("Claimant"): Philip J. Snyderburn, Esq. of the Law Offices of Snyderburn, Rishoi, and Swann, Winter Park, Florida. For American Fronteer Financial Corp. ("Respondent"): Carla B. Minckley, Esq. of Birge and Minckley, P.C., D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MARJORIE P. JAFFEE, JOAN B. PUCKETT ) and MARJORIE P. JAFFEE i CO., INC., ) Claimants, ) ) Case #88-02707 vs. ) Award COPELAND SECURITIES, INC., KENNETH ' ) GERMAIN and KENNETH LISSAK, ) Respondents. } Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Sidney M. Dubbin, Esq. Alfred Seaber CASE SUMMARY This claim was f

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph lacobellis vs. Claimant F.D. Roberts Securities, Inc. Mike McGowan Respondents Award #88-02706 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on September 1, 1988, October 10, 1988 and O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Drozdz (Claimant) v. Securities America, Inc., Reliance Financial Group, and John Matthew Lunghino (Respondents) Case Number: 05-05189 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimant John J. Drozdz hereinafter referred to as "Claimant": Timothy L. Burke, Esq. and Joel