NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anwar Shah, M.D. Claimant and » Charles S. Schwab & Co., Inc. Respondent SUMMARY ) ) A W A R D ) 88-02452 In a claim filed on or about August 2, 1988, the Claimant alleged that the Respondent wrongfully confirmed an exchange of shares in Vanguard funds which caused losses in both the sale of the Gold and Precious Meta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dale 0. Schwartzenhauer Claimant } vs. ) AWARD Greenfield/Campbell, Inc. and Respondents ) CASE NO. 88-02451 Charles Campbell ) SUMMARY OF ISSUES This case was filed on August 1, 1988. Claimant alleged the following: 1. wage claim; 2. breach of oral contract; and 3. fraud, with respect to employment with Respondent. Respondent denied the allegations and c

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael Yee, Wai Chit Tarn, Claimants ) Teresa Yee Chau & Christina Yee ) vs. CASE NO. 88-02445 Drexel Burnham Lambert, Inc Respondents PaineWebber, Inc. ) Lance Cummings } SUMMARY OF ISSUES This case was filed on August 2, 1988. Claimants alleged that Respondents violated Sections lOb and 10b5 of the Securities Exchange Act of 1934 and Section 12-2

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary M. Douthett, Individually and as Trustee of the Terri L. Douthett Grantor Annuity Trust, and Terri L. Douthett, Individually and as Trustee of the Gary M. Douthett Grantor Annuity Trust v. Prudential Securities, Charles Pischea and Robert Kilbridge Case Number: 99-2353 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Gary M. Douthett, Individual

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) George S. Yue and ) Helen S. Yue Claimant(s) ) ) AWARD vs. ) CASE NO. 88-02441 PaineWebber Inc., and ) John Zohn Respondent(s) ) SUMMARY OF ISSUES I • ' "- " - m»^»^^^—••• Claimant George S. Yue alleges that he was damaged when Respondents PaineWebber Inc. and John Zohr failed to notify Claimant of a margin call in a timely manner. Claimant allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Philip G. and Ann W. Morrow Claimant(s) vs. 88-02440 D.A. Davidson & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Philip G. and Ann W. Morrow alleged that Respondent(s) D.A. Davidson & Co. made misrepresentations about an investment. Respondent(s) maintain that the amount which the Claimant states has disappeared is the a

\ .. \ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) James C. Alexander ) Claimant ) and ) CASE NO. 88-02438 Dean Witter Reynolds Inc.; Kitty Longino and Leo Harrison Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 1, 1988, Claimant, James C. Alexander ("Alexander") alleged that Respondents, Dean Witter Reynolds Inc. ("Dean Witter") ( Kitty Longino

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Seymour Buxbom, Carol Buxbom, Claimants ) and/or Desert Outdoor Advertising, Inc. ) vs. ) CASE NO. 88-02542 Shearson Lehman Brothers, Inc., Respondents Robert Higgins, and Robert Glavor SUWARY OF ISSUES Claimants filed this claim with the NASD on August 11, 1988 and alleged that the purchase of 52,000 shares of Cetus Corporation stock at a cost of $

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald and Anna DiCenzo Clairaant(s) vs. Putnam Co. and O.R. Securities, Inc. and Gagliola-Perroni & Assoc. Respondent(s) AWARD 88-02540 Tha Arbitrator, Anne Cugliani, 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 Aug

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Kelly Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) AWARD 88-02539 The Arbitrator, John W. Jerak, 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 having reviewed and considered the proof