NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy-L. Patrick D.D.S., F.C. Claimant(s) vs. 88-01957 Thomson-McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Timothy L. Patrick D.D.S., P.C. alleged that Respondent (s) Thomson-McKinnon Securities, Inc. misrepresented material facts as to Claimant's investment with Respondent:. Respondents)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. #88-01956 Mark W. Gunderson Respondent Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submission to arbitration signed by the Claimant on May 27, 1988, but not signed by the Respondent as required by the te

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Lawrence A. Brockman Claimant ) vs. ) AWARD E. F. Mutton & Co., Inc. and Respondents ) CASE NO. 88-01949 Morris Symson ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. {"NASD") on June 17, 1988. Claimant Lawrence A. Brockman alleges that Respondents E. F. Mutton & Co., Inc. and Morris Symson induced him int

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) AWARD Western Employers, Inc. Claimant(s) ) ) CASE 188-01944 vs. ) Jefferies & Company and Respondent (s) ) Warren Nadel ) ) SUMMARY OF ISSUES This case was filed June 21, 1988. Claimant alleged that in connection with placing Claimant in a "Preferred Stock Dividend Capture Program" or "Dividend Roll Program" and purchase of options on commodity futures contracts, Respondents committ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David W. Gat ling Claimant vs. Sherwood Capital, Inc. Respondent AWARD #88-01943 Case Summary Claimant David W. Gatling ("Gatling") claims arise from the offer and sale by the broker, Edward Marshall ("Marshall") of several over-the-counter stocks, Investment Technologies, Inc. and Entell Corporation. The Claimant alleged that Marshall an agent of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DR. WILLIAM A. RADEFELD and ) BETTY E. RADEFELD, ) Claimants, } ) Case 188-01941 vs. ) Award ) MERRILL LYNCH, PIERCE. FENNER & SMITH, INC. ) and ROBERT BERRY ) Respondents. ) ) Heard before the members sof the Arbitration Panel: Thomas Fotopulos, Esq. Mr. James A. Smith IV Mr. Ralph Feith CASE SUMMARY This claim was filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narre qf f|1f»iTnant(s) Michael R. Berz CASE 188-01940 Raymond, James & Associates, Inc. Joseph P. Tuorto Harvey Hertz Heard before the members of the Arbitration Panels George Felos, Esq. Public Arbitrator Louis Saxton Public Arbitrator Randall T. stack industry Arbitrator This matter was initiated by a Statement of Claim filed with th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lev Gertzman Claimant(s) vs. AWARD 88-01939 Midlantic Brokerage Services, Inc. and BHC Securities, Inc. Respondent(s) The Arbitrator/ Kent Mastores being the Arbitrator 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 Lev Gertzman and BHC Secu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome P. Coyle IRA account no. 670-98331; Jerome P. Coyle & Linda Rae Coyle JTWROS account no. 663-37674; Edward Adolph Coyle Revocable Trust dtd 7/24/92; and Edward Adolph Coyle, trustee account no. 663-37506 v. McLaughlin, Piven, Vogel Securities, Inc., Rober( D. Braun, James J. McLaughlin, Sr., James C. McLaughlin, & Allan M. Vogel ( se Nnmher- 01-03285 , He.nring Sitet Salt Lak

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cowen & Co., Claimant vs. Michael and Harriet Tarnpoll, Respondents Case #88-01931 Award CASE SUMMARY Claimant, Cowen & Co., alleged that Respondents, Michael and Harriet Tarnpoll, failed to deposit additional funds to satisfy margin requirements pursuant to their margin agreement. this action caused the Claimant to liquidate the balance of the