Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: \ Ronald Soussa TTEE FBO Ronald Soussa Pension Plan, (Claimant) vs. Ameritrade, Inc., • (Respondent) Case Number: 01-03253 Hearing Site: New York, New York Claimant Ronald Soussa TTEE FBO Ronald Soussa Pension Plan, hereinafter referred to as "Claimant": Ronald Soussa, Trustee, Parsippany, NJ. Respondent Ameritrade, Inc., hereinafter referred to as "Respondent": James J. V

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hugh Guthrie H. Max Huie, Trustee of the Hugh L. Guthrie Family Trust Claimants vs. Merrill Lynch Life Agency Merrill Lynch, Pierce, Fenner & Smith, Inc. Ernest Falkner Executive Life Insurance Company Respondents Case #88-01405 ) Award On April 27, 1989, the undersigned arbitrators heard the controversy between the parties as set forth

05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Dudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents AWARD #88-01633 #88-01185 Case Summary Claimants alleged in both claims that Respondent Jane Nize failed to follow instru

05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Oudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents AWARD #88-01633 #88-01185 Case Summary Claimants alleged in both claims that Respondent Jane Nize failed to follow instru

/• i NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant ) ) Case #88-01652 ) vs. ) Award ) James Moscrip Respondent ) On April 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on February 16, 1988, and by Respondent on July 18, 1988. The arbitration panel, having con

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) LAWRENCE H. BLOCK, ) __ Claimant, ) ) Case #88-01605 vs. ) Award ) SHEARSON LEHMAN HUTTON. INC., } Respondent. ) Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Louise T. Jeroslow, Esq. John Darling On April 6 and 7, and May 16 and 17, 1989, the arbitrators heard the contro- versy between the parties as s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Samson Tabrizi Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Capital Markets Securities Research Division, Charles A. Bradford and Jack NOTICE OF CORRECTION OF AWARD CASE NO. 88-01601 Kreider Respondents The award dated November 16, 1989, contains an incorrect rate of interest. Paragraph 1 should read: 1. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter R. Bonano Carol L. Bonano vs. Dreyfus Service Corporation Claimants Respondent CASE NO. 88-01598 SUMMARY OF ISSUES This case was filed on May 17, 1988. Claimants originally filed their claim against Concord Holding Corporation and Pacific Horizon Group of Funds. These two entities are not NASD members and did not submit voluntarily to NASD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore Reals Claimant(8) vs. 88-01595 Blinder, Robinson & Co., Inc. and Jack Kirkland Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Salvatore Reale alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Jack Kirkland made certain misrepresentations concerning securities purchased by Claimant. Respondent(s) deny al

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald C. Sands Evelyn L. Sands C1aimants ) ) Case #88-01590 vs. ) Award Shearson Lehman Hutton, Inc. Respondent On April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Ronald C. and Evelyn L. Sands on May 12, 1988, and by Respondent Shearson Lehman Hutton, I