Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-03278 Rick G. Bannon Names of Respondents Hearing Site: Tampa, Florida Raymond James & Associates, Inc., a Florida Corporation Steven Koch REPRESENTATION OF PARTIES For Rick G. Bannon, hereinafter referred to as "Claimant": Eric E, Ludin, Esq., Piper, Ludin, Howie & Werner, P.A. St. Petersburg, Florida. For Respondent Raymond James & Associates, Inc. ("RJ&A

N.A.S.D. AWARD NATIQNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Lindsey Owens Saras Claimant and A.G. Edwards & Sons, Inc. and S. Gray Jackson, Jr. Respondents and James H. Sams Third-Party Respondent REPRESENTATION OF PARTIES Claimant, Estate of Lindsey Owens Sams was represented by Ralph E. Rood, Esq. of Gohlson, Hicks & Nicols, Columbus, Mississippi. Respondent A. 6. Edwards & S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) HENRY ATTEN, ) Claimant, ) ) Case 188-01783 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH, ) INC., ROBERT A. SAUER and MARTIN H. ) FELDMAN, ) Respondents. } Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Harry Polansky Anthony S. Paetro On May 10, 1989, the arbitrators heard the controversy bet

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) William P. Spickofsky ) Claimant ) ) AWARD vs. ) ) NASD t 88-01781 Quick & Reilly, Inc ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 1, 1988. Claimant alleged Respondent issued an erroneous margin call in his account, which resulted in a forced liquidation of

N.A.S.D. AWASD NATIONAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between of Claimant/a > Irwin M. Potash M.D. P.A. Def .Ben. Plan FINAL ORDER CASE #88-01780 B.F. Button 6 Company, Inc. Stephen Phillip Whitman Heard before the renters of the Arbitration Panel: Philip F. Ludovici, Esq. Andy Fernandez Andrew Bartf ay this claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on M

lot NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ROBERT T. WILLIAMSON, ) Claimant, ) ) Case J88-01779 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER AND SMITH, ) INC. and HARRY C. TREBOR, . ) Respondents. ) ) Heard before the members of the Arbitration Panel: Professor Stephen K. Halpert Dr. Sherman R. Kaplan Robert Weinstein CASE SUMMARY This claim was filed with the NASD,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Theodore J. Suleski and Carol E. Suleski Claimants vs. ) Case #88-01775 Award Philips Appel & Walden, Inc. ) Respondent ) 1 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondent as set forth in a submission to arbitration signed by the Claimants on June 25,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between T. Jack Bennington and Rita Claimant(s) Bennington vs. Shearson Lehman Brothers, Inc. Respondent(s) and Cesar L. Portugal, Jr. CASE NO. 88-01773 SUMMARY OF ISSUES This case was filed on June 6, 1988. Claimants alleged that Respondents made purchases in SafeCard Services without authorization or approval by Claimants. Claimants alleged that this constitu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JACK GENOVA ) Claimant(s) ) and ) ) CASE NO. 88-01762 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND RONALD KRAUSE ) Respondents ) CASE SUMMARY Jack Genova ("Claimant") alleged as follows: 1. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Ronald Krause ("Respondents") misrepresented the commission arrangements regarding the American Ca

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 88-01754 In the Matter of Arbitration Between) RONALD SCHHARZ Claimant v. R. G. DICKINSON & CO. Respondent SUWARY OF CASE Ronald Schwarz ("Claimant") alleges that R. G. Dickinson & Co. ("Respondent") misrepresented the balance in the Claimant's account, misrepresented that 5400 shares of Blinder International Enterprise, Inc. had been purchased for the Claimant's account. Clai