NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) GILBERT & GERTRUDE GROSSMAN Claimant and KENNETH C. MEISSNER d/b/a FINANCIAL COUNSELING & MANAGEMENT SERVICE Respondents ! ) i CASE NO. 88-02395 CASE SUMMARY In a statement of claim filed with the NASD on or about July 28, 1988, Claimants Gilbert and Gertrude Grossman ("Grossman") allege that Respondent Kenneth C. Meissner, d/b/a Finan

NATIONAL ASSOCIATION OF SECURITIES OEAI In the Matter of the Arbitration Between JO PARASILITE Claimant and ) ) CASE NO. 88-02393 SHEARSON LEHMAN BROTHERS, INC. AND NICK DIMINICO Respondents CASE SUMMARY In a Statement of Claim filed with the NASD on July 28, 1988, Claimant Jo Parasilite ("Parasilite") alleged that Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Nick Diminico ("Diminico") engaged in the following misc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) JOHN J. and MARGARET BUTLER ) Claimants ) NASD No. 88-02382 v. ) THOMSON MCKINNON SECURITIES, INC. ) Respondents ) CASE SUMMARY In a claim filed with the NASD on July 26, 1988, Claimants John J. and Margaret M. Butler (Claimants) alleged that Claimants purchased from Respondent Thomson McKinnon Securities, Inc. (Thomson McKinnon) 95 units of Nati

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ? Kenneth R. Wendt ) Ruth E. Wendt > c *se #88-02375 Claimants I x Award vs. > Shearson Lehman Brothers, Inc. \ Edgar Stauber ^ Respondents { On May, 1, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Kenneth R. and Ruth E. Wendt on July 18, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant/ ) Counterrespondent ) Case #88-02374 vs. ) Award Malay Pravin Nathwani Respondents/ ) and Gira Pravin Nathwani Counterclaimant ) CASE SUMMARY Claimant alleged that between October 1, 1987 and October 16, 1987, Claimant, under the instructions of Respondents, purchased and sold various stocks and options for the account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David G. Harow Sheila R. Harow vs. Claimants Carl P. Sherr & Co. Carl P. Sherr Respondents CASE #88-02372 AWARD CASE SUMMARY Claimants David G. and Sheila R. Harow (hereinafter the "Claimants") alleged that Respondents Carl P. Sherr & Co. and Carl P. Sherr (hereinafter the "Respondents") made unsuitable recommendations. Claimants alleged tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claus Burwick Claimant(s) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02370 The Arbitrator, Kent Mastores, 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 July 11, 1988

FEB 1 ? RE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bertha Hudak vs. Joseph Friscia Claimant Respondent AWARD #88-02435 Case Summary Claimant Bertha Hudak alleged that Respondent executed unauthorized transactions of connon^itodc in her account and failed to correct the unauthorized trades"wfien she gave instructions to do so. Respondent Joseph Friscia did not file a Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald R.J. and Janet M. Chabot vs. Cla.itnimt(a) 88-02434 Grayatone Nash, Inc. Respondent(a) j NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ronald R.J. and Janet M. Chabot alleged that Respondent(s) Graystone Nash, inc. made misrepresentations. Respondent(a) maintain that Claimant is simply a disgruntled customer. RELIEF REQUESTED

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerard H. Maher Claimant(s) vs. 88-02428 George Ulrich - First Eagle Inc. Respondent(s} NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Gerard M. Maher alleged that Respondents George Ulrich and First Eagle Inc., failed to execute the sale of Mogul International stock. Respondents maintain that order was not placed during market hours and could