NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between Paul Sarkozy ) ) Claimant(s) vs. PaineWebber, Inc. R. William Alfrey James M. Ragland - ) Russell E. Dale' ) Respondent (s) ) ' CASE #88-02354 AWARD Heard Before the Arbitration Panel: Martin Henner \< ' _ Gerald D. Wygant Daniel Dunnington On May 2, 3 r 4 and"5, 1989 the arbitrators heard the controversy betwee

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David C. Clanton Claimant(s) vs. 88-02352 Blinder, Robinson & Co., Inc. and Richard A. Bersson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant David C. Clanton alleged that Respondent Blinder, Robinson & Co., Inc. and Richard A. Bersson executed an unauthorized transaction. Respondents maintain that Claimant received written co

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. J-02344 Kimberly Brown Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent^s) Kimberly Brown owes a balance in her account. Respondent(s) did not defend. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., Inc. requested damages of Two

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Burger Claimant(s) vs. Blinder, Robinson & Co., Inc. and Robert Hein Respondents) NOTICE OF ARBITRATION AWARD 88-02338 CASE SUMMARY Claimant(s) George Burger alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Robert Hein made unauthorized trades in Claimant's account. Respondent(s) maintain that Claimant is barred from recover

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Carolyn Hash and Claimants ) Lorrie Leiker ) vs. ) CASE NO. 88-02335 Shearman Lehman Mutton, Inc Respondents ) Mark Anthony DeMenno ) Municicorp of California ) SUMMARY OF ISSUES This case was filed on July 2, 1988. Claimants allege that they purchased a mutual fund through Respondents that was represented to them as being a secure, virtually risk fre

3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DEAN WITTER REYNOLDS INC., Claimant, vs. FRED and JUDITH KAPING, Respondents, AND RELATED COUNTER-CLAIM. AWARD Case No. 88-02332 SUMMARY OF ISSUES This case was filed on July 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MILTON A. GREEN JO ANN GREEN Claimants vs. ) Case #88-02329 Award PRUDENT I AL-BACHE SECURITIES Respondent On April 14, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Milton and Jo Ann Green on June 30, 1988 and by Respondent, Prudential-Bache Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Borkey Kimberly Shaker Claimants vs. AWARD #88-02328 188-02922 01de Discount Stockbrokers Dale Maruster Respondents Case Summary Claimant Michael Borkey ("Claimant") was trading stock for Kimberly Shaker and dealt with brokers from Olde Discount Corporation ("Olde") alleged that Respondent Dale Maruster ("Maruster") failed to properly

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04027 John Dermot Sullivan, Claimant vs. Terry G. Stavropoulos, Respondent. ATTORNEYS: Claimant, John Dermot Sullivan, ("Claimant"), appeared Pro Se., Perth, Western Australia, Australia Respondent, Terry G. Stavropoulos, ("Respondent"), appeared Pro Se., Syosset, NY. DATE FILED: September 1, 1999 CASE SUMMARY: Claimant alleged that he established the account after Respondent's col

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicholas M. Bianco and Mary Bianco, Claimants Case #88-02323 vs. ) Award ) Advest Securities, ) Respondent ) CASE SUMMARY Claimants allege that Nicholas Bianco informed his broker, Robert King, the registered representative with Advest Securities, that his investment objective was to obtain a safe, guaranteed monthly income from his investment