NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Haines Claimant(s) vs. Greentree Securities, Inc., Formerly Brooks, Weinger, Robbins & Leeds Respondent(s) NOTICE OF ARBITRATION AWARD 88-02543 CASE SUMMARY Claimant(s) Robert Haines alleged that Respondent(s) Greentree Securities, Inc., Formerly Brooks, Weinger, Robbins & Leeds pressured Claimant to purchase stocks he did not want to p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Neil Ian Feinberg Claimant{s) vs. NOTICE OF ARBITRATION AWARD 88-02642 Evans & Co. Respondent(s) CASE SUMMARY Claimant(s) Neil Ian Feinberg alleged that Respondent(s) Evans & Co. was negligent in handling Claimant's account. Respondent(s) denies all allegations. AWARD Pursuant to Section 13 of the NASD, Inc. Code of Arbitration Procedure (

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Thomas G. O'Connell vs. Shearson Lehman Hutton, Inc. and Ronald Smith Claimant Respondents AWARD CASE #88-02640 SUMMARY OF ISSUES This case was filed on August 18, 1988. Claimant, Thomas G. O'Connell alleges that Respondents, Shearson Lehman Hutton, Inc. and Ronald Smith engaged in a series of speculative investments in common stocks that were inappropriate in light of Claimant's i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander Pavliv Claimant(s) vs. 88-02637 Monmouth Investment, Inc. Respondent(s) AWARD The 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 August 15, 1988 and February 21, 1989, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rosemary Alexander Claimant(s) vs. 88-02634 Raymond James & Associates, Inc., & Earl Spytek Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Rosemary Alexander alleged that Respondents Raymond James & Associates, Inc., and Earl Spytek seeks recession and return of her $20,000 investment based upon alleged misrepresentation of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claire Walter vs. Claimant Merrill Lynch Pierce Fenner & Smith, Inc. Donald J. Kelly Respondents CASE #88-02633 AWARD CASE SUMMARY Claimant Claire Walter ("Walter") alleges that Respondent Donald J. Kelly ("Kelly") failed to timely execute the sale of specific mutual funds in her account after Walter had repeatedly requested Kelly to do so. Walt

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Robert T. Walker Claimant ) vs. ) CASE NO. 88-02630 Shearson Lehman Brothers, Inc. Respondents ) and William Zimmer ) SUMMARY OF ISSUES Claimant filed this claim with the NASD on August 18, 1988 and alleged that the increased margin requirement imposed by Respondent on Claimant's position of one April 15 nickel contract constituted a breach of fiduciary

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Campbell, individually and as personal representative of the Estate of Anne Campbell, Claimant vs. Seafirst Investment Services, a division of BA Investment Services, Inc., and Mary Ann Lindsey, Respondents. Case Number: 99-02342 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES Claimant, John W. Campbell, individually and as personal representative of the Estate of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) ) GAMBLERS' FIVE ) ) Uaimant J v. ) Case No. 88-02629 ) FIDELITY BROKERAGE SERVICES, INC. ) ) Respondent ) ) CASE SUMMARY Claimant placed a sell order for 5,000 shares of CXR that had experienced a reverse split of one for twenty-five. Respondent actually sold 5,000 shares, therefore creating a short sale in Claimant's account. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles & Thelma Newman Claimant(s) vs. Shochet Securities Inc. Respondent(s) AWARD 88-02626 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 on August 12, 1988 and September 23, 1988,