NASO N.A.S.D. AHARD NATIONAL ASSOCIATION OF SECUIITIES DEALERS Ai bill ft lion National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between of CTIaiimmfc Russ L. Shannon VB Eugene Jewett Case f 88-01475 This claim was filed with the National Association of Securities Dealers, Inc. on May 6, 1988. Tte hearing was October

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betveen ) ) S. DAVID THORPE, ) -~ Claimant, ) ) Case 188-01471 vs . ) Award . ) . P. D. ROBERTS, INC., JOHN OEHL, ) HERZOG, HEINE CEDULD, INC., and ) J. MORGAN FINANCIAL SERVICES. ) Respondents. ) Heard before the member of the Arbitration Panel; Craig Edward Stein, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on May 6, 1988. The h

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03251 H&R Block Financial Advisors, Inc., Claimant vs. Garbis Baklayan, Respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller of H&R Block Financial Advisors, Inc., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: June 19, 2001 CASE SUMMARY: Claimant alleged that Respondent failed to meet margin requirements in his portfolio which prompted the Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ELAINE STIARWALT ) Claimant ) v. GROUP NINE SECURITIES and MIKE HESSE Respondents NASD No. 88-01470 CASE SUMMARY Elaine Stiarwalt ("Claimant") alleges that Group Nine Securities, Inc. ("Respondent Nine") and Mike Hesse ("Respondent Hesse") (sometimes referred to collectively as "Respondents") made purchases in her IRA and in her regular account that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Robert Simmon Claimant(B) vs. 88-01468 Larry Geller, Vanderbilt Securities/ Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Dr. Robert Simmon alleged that Respondent(s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc., and Joseph Radcliffe fraudulently misrep

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John E. and Patricia M. Quick Claimants ) and ) AWARD Case No. 88-01465 Merrill Lynch Pierce Fenner & Smith and William M. Ten Eyck Respondents ) CASE SUMMARY In a claim filed with the NASD on May 6, 1988, Claimants John E. Quick and Patricia M. Quick ("Claimants") alleged that Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stanton Rultenberg Donna Rultenberg Claimants vs. Case #88-01457 Award Merrill Lynch Pierce Fenner and Smith, Inc. Stephen Gansman Respondents On April 25, 1989, the undersigned arbitrator heard the controversy between thejMMTties as set forth in submissions to arbitration signed by Claimants Stanton and ubhna Hultenberg on April 18, 1988 an

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Davie Hyman Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Louis A. Telerico Respondents CASE #88-01449 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 5, 1988, Claimant Davie Hyman alleged Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Louis A. Telerico repeatedly advised C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Inwha Chung Claimant vs. Merrill Lynch, Pierce, Fenner 3 Smith, Inc. < < nd Dongwon Sohn Respondents Case #88-01444 AWARD CASE SUMMARY Claimant Inwha Chung alleged that Respondents Merrill Lynch, Pierce, Fenner R Smith, Inc. ("Merrill Lynch") and Dongwon Sohn ("Sohn") engaged in excessive and unauthorized trading in the Claimant's account, made im

NATIONAL ASSOCIATION OF SECURITIES DEALERS, II3C. In the Matter of the Arbitration Between Cowen and Co., Claimant ) Case #88-01440 vs . ) Award ) Majestic Investment Group - Baranishyn and Associates, > Respondent ! On March 30, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submission to arbitration signed by Claimant, Cowen and Co., on April 22, 1988. Respondent, Majestic Investment Group, a Divisi