NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-01003 Mitzi Suzanne Pasch, Claimant vs. Rogers & Co., LLC/Corporate Securities Group, d/b/a JWGenesis, Carol Lynn Rogers and Kathryn Goossens, Respondents. ATTORNEYS: Claimant, Mitzi Suzanne Pasch, ("Claimant"), appeared Pro Se,, Chesterfield, MO. For Respondent, JWGenesis Financial Services, Inc., ("JWGenesis"), appeared in-house counsel, Charles E. Scarlett, Esq., Boca Raton, FL.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Philip Michael Zrike, III, Claimant vs. Hutchinson Financial Corporation and Mark Maienfant, Case #88-03701 Award Respondents ) CASE SUMMARY Claimant filed the above-captioned matter for arbitration on December 1, 1988. In his claim he alleged that Respondent, Mark Malenfant, failed to execute two orders: the first order was to sell 2,000 shares o

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Edmond and Etna E. Spires, ) Claimants, ) ) Case 188-02363 vs. ) Award ) Merrill Lynch. Pierce, Fenner & Smith, Inc., ) ) Respondents. ) Heard before the members of the Arbitration Panel: George S. Coit Jr., Esq. Mr. Roger C. Benson Mr. Andrew Fellios CASE SUMMARY This claim was filed with the NASD. Inc. on July 25, 1988. The hearing

•NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Merrill Lynch Pierce Fenner ) & Smith, Inc. ) Claimant ) ) Case #88-02358 vs. ) Award ) James E. Turner ) Donna Turner ) Respondents ) On April 7 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Merrill Lynch Pierce Fenner & Smith, Inc. on July

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Audrey J. Rasmussen Claimants ) Award Maxwell W. Rasmussen, Trustees ) vs. ) CASE NO. 88-02357 Shearson Lehman Hutton, Inc. Respondents ) Lewis 0. Tenzer ) SUWARY OF ISSUES This case was filed on July 22, 1988. Claimant alleged the following: Excessive and unsuitable trading of their account by respondents, and an unauthorized purchase of 5,000 shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ! In The Matter of The Arbitration Between Award NASD No. ?>< & -o37k> ClaimantCC vs. Respondent(S3 ) 4 Ouiss-Cjleuuvw.a< «of7 ) SUMMARY OF ISSUES This case was filed atf JM \ 4A. 4-t^L. MflST) ev. < !-L(iA4A < LjJ*s\ to AAlaua TO DAMAGES AND RELIEF REQUESTED * - n fc OOP i O^V^d. On DAMAGES AND RELIEF AWARDED MX.fi- I the undersigned

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beverly Langdon 88-03757 Name of Respondents Merrill Lynch, Pierce, Fenner 4 Smith, Inc. Donald Lillie CASE SUMMARY Claimant Beverly Langdon ("Langdon"}, alleged that the Respondents', Merrill Lynch, Pierce, Fenner & smith, Inc. ("Merrill Lynch") and Donald Lillie ("Lillie"), recommendation that she purchase LTV stock w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Lerz Claimant(s) vs. 88-03756 Stuart-James Co., Steve Cruise and Rich Frueh Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Richard J. Lerz alleged that Respondents Stuart-James Co., Steve Cruise and Rich Frueh incorrectly executed sell orders which resulted in financial loss. Respondents maintain that Claimant place

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Leonard & Florence Furman Claimants vs. Prescott, Ball & Turben, Inc. Richard Simmer Warren Bruce Respondents AWARD #88-03755 Case Summary Claimants Leonard and Florence Furman (hereinafter the "Claimants") alleged that the Respondents Prescott, Ball & Turben, Inc., Richard Simmer and Warren Bruce (hereinafter the "Respondents") placed unauthoriz

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John F. Thatcher Claimant(s) vs. 88-03751 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John F. Thatcher alleged that Respondent(s) PaineWebber, Inc. committed unauthorized trading. Respondents) maintain that Claimant was aware of and ordered the trades committed. RELIEF REQUESTED Claimant(s) John F.