NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of Arbitration Between) ) ERWIN and BERNICE L. COHN ) Claimants ) NASD NO. 88-02533 v. ) L.F. ROTHSCHILD & CO. ) and DAVID GROSS ) Respondents CASE SUMARY In a claim filed with the NASD on August 10, 1988, Claimants Erwin and Bernice Cohn (Claimants) alleged that Respondents L.F. Rothschild and Co. (Rothschild) and David Gross (Gross) sold on October 29, 1987, without

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Q f ' ''VC In the Matter of the Arbitration Between ) John Benvenuto and Claimants ) Luigina Nicora ) vs. ) CASE NO. 88-02531 Great Western Financial Securities Respondents ) Corporation and Jill Irwin ) SUWARY OF ISSUES The Claimants filed this claim with the NASD on August 10, 1988 against the Respondent brokerage firm and its account executive and alleged breach of fiduciary duty, misre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. UPthe Matter of the Arbitration Between ) J. Murray and Rita Chick ) Claimants ) and ) A W A R D ) 88-2526 Shearson Lehman Brothers, Inc.; ) John MouJton ) Respondents On Monday, May 1, 1989 in St. Louis, Missouri, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on July 21, 1988 by Claimants J. Murray and Rita Chick

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marc Wexler Claimant(a) vs. 88-02524 First Montauk Securities and Steven Winters Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Marc Wexler alleged that Respondent First Montauk Securities and Steven Winters failed to execute Claimants trade order on a timely basis. Respondents denies allegations. RELIEF REQUESTED Claimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gail Spicuzza, Claimant vs. Securities Service Network, Inc., Justin Jensen, Cal Jones and Cathie Baiche, Respondents. Case Number: 99-02351 Hearing Site: Seattle, WA REPRESENTATTON OF PARTIES Claimant, Gail Spicuzza, (hereinafter referred to as "Claimant"): John A. Bender, Esq., Weiss, Jensen, Ellis & Howard, 520 Pike Street, 2600 Pike Tower, Seattle, WA 98101. Respondents, Secur

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Mesut Sezgin AWARD Claimant #88-02520 vs. First Jersey Securities, Inc. John Lesley Rosser Respondents Case Summary This proceeding was commenced by the Claimant Mesut Sezgin ("Mr. Sezgin") against the Respondents First Jersey Securities, Inc. ("First Jersey") and John Wesley Rosser ("Mr. Rosser") arising from the over and sale of several over-the-cou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the .Matter of the Arbitration Between Name of Gregory James Hirte 88-02519 '**' -* -*• Name of Respondent's). Merrill Lynch, Pierce, Fenner & Smith j Bruce Grace " " *•-—- Jane Doe Grace This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 9> 1988 and clarified and supplemented March 18, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Sabatini and Quinta Sabatini Claimants vs. ) Case #88-02516 Award USAA-Brokerage Services David Miller Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions to arbitration signed by the Claimants on August 4,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maureen Hourigan Quattrocchi Claimant(s) vs. 88-02515 Diversified Equities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Maureen Hourigan Quattrocchi alleged that Respondent Diversified Equities Corp. failed to fulfill her sellorder and the price of the stock dropped. Respondent maintains that Respondent does not defend.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs, 88-02512 Thomas Stubbs Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Thomas Stubbs failed to make payment due in his account. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., Inc. requested dama