NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) FRANK D. FOIL, ) Claimant, ) ) Case 188-02507 vs. ) Award > PAINEWEBBER, INC., RICHARD DELSONTRO and ) F. OTTO BUSOT, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Mr. Arieh Leo Douer Mr. Harry Polansky Mr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on August 8, 1988. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wi11iam Schroeter Rosemarie Tort vs. Claimants Philips, Appel & Walden, Inc. Richard Tort Respondents AWARD #88-02501 Case Summary Claimants alleged that Respondents placed the Claimants in unsuitable securities without regard to their investment experience and financial resources. Claimants further alleged that the securities purchased and traded

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ELIZABETH MENTE ) Claimant ) AWARD v. ) NASD NO. 88-02499 PRUDENTIAL-BACHE SECURITIES, INC. ) and WILLIAM SADLER ) Respondents ) On May 23, 1989 and April 28, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 30, 1988 by Claimant Elizabeth Mente, on September 8, 1988 by Cha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between Charles Schwab, Inc. Claimant(s) and Norman J. Yentzen, Jr. Respondent (s) ) AWARD ) Case No. 88-02496 CASE SUMMARY Charles Schwab & Company ("Claimant") alleged that Norman Yentzen ("Respondent") owes the Claimant certain amounts for a debit balance which resulted when Claimant was forced to liquidate the Respondent's account to cover a d

NATIONS ASSOCIATION OF SECURITIES DEALERS, INC. Stauffco, Inc. Claimant(s) VS. AWARD CASE #88-02495 Drexel Barharn Lambert, Inc. Lance E. Cummings PaineWebber i Respondent(s) ) SUMMARY OF ISSUES This case was filed on July 25, 1988. Claimant Stauffco, Inc. alleges that Respondent Drexel Burnham Lambert, Inc. through its representative Lance E. Cummings made certain misrepresentations regarding investments in a common stock. C

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kenneth O. and Diana Eldridge Case No. 99-02349 Name of Respondent Wedbush Morgan Securities Inc. Name of Third Party Respondent Bear Stearns & Company REPRESENTATION OF PARTIES For Kenneth O. and Diana Eldridge ("Eldridge"), hereinafter collectively referred to as "Claimants": H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) -jLb^rah ^r< ^L Claimant(s) ) vs. ) CASE # -J /J... ' ,'/-» - ( r- 'ki/ \ AWARD OOA/xLtf /"Xi-tX/j LV.O/I^I/JO > ^ > s ri1 -- I «HMI\U / f ' • * ''• I 1 j I ',•':' f , f ~ ( '~ni.uLu >'6/l/"»*f/o ^'-^t.' J.r\'< ~i* .t-ciJ/tyv- J ••7 '^" ) Respondent(s) ) On * • the undersigned arbitrators heard the controversy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carl R. L. Brown and Janice L. DeCamp Brown Claimant(s) vs. 88-02577 Bradstreet Capital, Inc. and Steven J. Spande Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(8) Carl R. L. Brown and Janice L. DeCamp Brown alleged that Respondent(s) Bradstreet Capital, Inc. and Steven J. Spande made misrepresentations. Respondent(s) did not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD Steven Lehrhoff Claimant(s) ) CASE #88-2575 vs. Prudential-Bache Securities Respondent(s) ) and Randy Brandt ) ) SUWARY OF ISSUES This case was filed on August 15, 1988. Claimant alleges that he made a deposit of $6,000.00 to his margin account at Respondent's firm which was never credited properly. Because of said error, Claimants account was sold out. Respondents allege that they n

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eric R. Schilt vs. Claimant(s) D.H. Blair & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02574 CASE SUMMARY Claimant(s) Eric R. Schilt alleged that Respondent(s) D.H. Blair & Co., Inc. misrepresented material facts as to Claimants investment with Respondent. Respondent(s) denies Claimants' Allegations. RELIEF REQUESTED Claimant (