NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clyde and Delores Rockhold vs. E.F. Hutton & Co., Inc. Claimant(s) Respondent(s) AWARD 88-2616 The Arbitrator, Richard C. Moenning, 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 May 16, 1988 and November 23, 1988 respectiv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Warren and Patricia M. Dell vs. Prudential-8ache Securities, Inc. Mark Roberts Claimants Respondents CASE 188-02608 AWARD CASE SUMMARY Claimants Warren and Patricia M. Dell allege that Respondents Prudential-Sacim Securities, Inc. and Mark Roberts negligently handled their account. Claimants allege that Respondent Mark Roberts placed them in uns

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc., Claimant vs. Case #88-02606 (CONSILATED w/ #88-02906) AWARD James T. White, Respondent CASE SUMMARY Claimant, A.G. Edwards & Sons, inc., alleges that Respondent, who traded on margin, authorized the sale of two stocks to meet margin calls and that said sales were unable to cover the margin debit. Claimant further a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael & Sue Bezazian Claimant(a) vs. 88-02604 Quick & Reilly, Inc. Respondent(s) AWARD The Arbitrator, Richard C. Moenning/ 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 July 13, 1988 and November 9, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Margaret W. Spink Claimant ) ) vs. ) CASE NO. 88-02603 Prudential-Bache Securities, Inc. Respondents ) and Donald Haven ) SUWARY OF ISSUES Claimant filed this claim with the NASD on August 16, 1988 and alleged that Respondents breached their fiduciary duty by recommending unsuitable investments in limited partnerships and options transactions, and tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stuart Yontef, ) Claimant ) Case 188-02598 vs. ) Award Individual Securities, Ltd. and ) Sandier Trench & Company, ) Respondents ) CASE SUMMARY Claimant contends that he gave several orders to sell 500 units of Gamdgen, Inc. to his broker, John Janiga, and the Respondents and that they failed to execute his orders. Respondent, Individual Securitie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CHARLES SCHWAB & CO., INC. ) Claimant(s) ) and ) ) CASE NO. 88-02592 GRANT DAVIS, JR. ) AWARD Respondent(s) ) On June 9, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 25, 1988 by Richard 5. Dangerfield on behalf of Charles Schwab & Co., Inc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Merrill Lynch, Pierce, Claimant ) Fenner & Smith ) AWARD ) vs. ) CASE NO. 88-02590 ) Roohollah Salari, M.D. Respondent ) SUT-KARY OF ISSUES This case was filed on July 8, 1988 by Claimant Merrill Lynch, Pierce, Fenner & Smith (Merrill) and an Answer and Cross Claim was filed by Roohollah Salari, M.D. (Dr. Salari) on October 12, 1988. Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William R. Nance and Sharon C, Nance, Claimants v. Frederick Jay Hentschel, III, Marcus Anthony Ramos and Michael Scott Weiner, Respondents Case Number: 99-02341 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimants: For Respondent Frederick Jay Hentschel, III: For Marcus Anthony Ramos: For Respondent Michael Scott Weiner: Katharine Hendricks, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David O'Kelley, Claimant v. Continental Broker-Dealer Corp., Respondent Case Number: 00-01002 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, David O'Kelley, hereinafter referred to as "Claimant" was represented by W. W. McNeal, Esq. of McNeal, Garner & Lippe PLLC, Lockhart, Texas. Respondent Continental Broker Dealer Corp. hereinafter referred to as "Resp