NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Gloria Gimma Harrison Executive of the Estate of Francis T. Brooks Claimant vs. PaineWebber, Inc. and John McKay, III Case #88-02114 AWARD i Respondents CASE 5UWARY This proceeding was commenced initially on June 29, 1988 by Claimant Gloria Gimma Harrison ("Harrison") as Executive of the Estate of Francis T. Brooks ("The Estate") against Respondent PaineWebber, Inc. ("PaineWebb

Award . NASD Dispute Resolution In the Matter of the Arbitration Between: Mama of fog f*1 a truant f!fiMt >JiimVipr- 04-02880 Ronald H. Kiaus individually and OD behalf of his IRA. Names of t>it» Pgcpr^miffntq Hftariiw Sitp' Baltimore, Maryland Morgan Stanley DW, Inc. Troy Michael Elser Nature of the Dispute: Customer vs. Member and Associated Person. PARTI Claimant, Ronald H. Kraus individually and on behalf of his IRA, hereinafter referred to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel Meltzer, Claimant vs. Olde Discount Corporation n/k/a H&R Block Financial Advisors, Inc. and Randal Mudge, Respondents. Case Number: 99-03988 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Daniel Meltzer, (hereinafter referred to as "Claimants"): In Pro Per, 77 Lovell Avenue, Mill Valley, CA 94941. M. Respondents, Olde Discount Corporation n

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf tfia Plarimnnt Hasft "NinrQ-iffl- 05-02531 Ada M. Strausberg "Mtrmcs of the "Respondents Hearing Site! Baltimore, MD Lincoln Financial Advisors Corporation KatrinaRose Nature of the Dispute: Customer vs. Member and Associated Person. PlT.PHff.STr.NTATTON Claimant, Ada M. Strausberg , hereinafter referred to as "Claimant" , was represented by Neil J. Bi

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between RoseMarie Aguanno Claimant vs. Case #88-02110 ORDER Shearson-American Express, Inc. and Mark L. Stahl Respondents ORDER It appearing that the parties have submitted the controversy between them to arbitration as set forth in Uniform Submission Agreements signed on June 28, 1988 by RoseMarie Aguanno ("Claimant") and signed on September 19, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between GRIFFIN FINANCIAL SERVICES Claimant and ) ) CASE NO. 88-02109 HUGH G. SMITH LUMBER CO. AND HUGH G. SMITH Respondents CASE SUMMARY Griffin Financial Services ("Claimant") alleges that Hugh G. Smith Lumber Co. and Hugh G. Smith (collectively referred to as "Respondents") did not submit sufficient documentation to complete a sale of 100 shares of A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Weber R. Lawler, Jr. Mary Elizabeth Lawler Claimants vs. Shearson Lehman Hutton, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. James Hedine Respondents CASE #88-02108 AWARD CASE SUMMARY In a claim received by the NASD on June 29, 1988, Claimants Webster R. and Mary Elizabeth Lawler ("Claimants") alleged that Respondent James I. Hedine,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of v-.e Arbitration Between Doyle W. Griffeth Sara A. Griffeth vs. Claimants ) Case 488-02102 Award Prudential Bache Securities, Inc. Respondents ) Prudential Bache Research Fund ) On April 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Doyle w. and Sara A. Griffeth on June 11, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between •Estate of Paul E. Bewshea, Thomas J. Whalen, Executor, Claimant vs. ) Case #88-02097 Award Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert F. Bruno Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in Submissions to Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donna G. Goehle, Claimant and 88-02096 Shearson Lehman Brothers, Inc. and Kent Bowman, Respondents In a claim filed with the NASD on or about June 27, 1988, Donna G. Goehle {"Claimant") alleged that Shearson Lehman Brothers, Inc. ("Shearson") and Kent Bowman {"Bowman")(collectively as "Respondents") made material misrepresentations to induc