NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeff C. Pokrajac Claimant vs. Shearson Lehman Hutton Inc., Dennis V. Todaro, and Gerald Jones Respondent(s) ) Shearson Lehman Hutton, Inc. vs. Jeff C. Pokrajac Counter-Claimant ) Counter-Respondent) AWARD CASE NO. 88-00997 SUWARY OF ISSUES Claimant Jeff C. Pokrajac filed this claim on March 28, 1988 against Shearson Lehman Hutton

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Claire Castillo, Claimants vs. Case -88-00993 Award Providence Securities, Inc., Al Kopech and Bear Stearns & Co., Inc., Respondents CASE SUMMARY Claimants, John and Claire Castillo, allege that Respondents negligently handled their order to purchase "two one thousands" of GTECH CORP stock at as close to S21.00 per share as possible

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. ) In the Matter of the Arbitration Between ) Michael A. Kellogg Claimant AWARD vs. CASE NO. 88-00992 Gliksman Securities Corp. and Respondent(s) Harry Gliksman CASE SUWARY Claimant alleged that on October 26, 1987, Respondents sold 67,500 shares of Nortek, Inc. common stock, without Claimant's approval and over his expressed objections, and without other authority. Claimant alleged that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Joseph Camardese ) Claimant ) ) Case #88-00985 vs. ) Award ) Merrill Lynch Pierce Fenner & Smith, Inc. ) John Argonish ) Respondents ) ) CASE SUMMARY Claimant alleges Respondents made unauthorized transactions of call options in General Motors Corp. and Genentech stock. Respondents maintain transactions were done with Claimants autho

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles E. Coles ) Claimant ) ) Case #88-00980 vs. ) Award ) Charles Schwab & Co., Inc. ) Respondent ) CASE SUMMARY Claimant Charles E. Coles alleges that he ordered Respondent Charles Schwab & Co., Inc., to sell 6,000 Stone Container short and later to cover the position by buying 6,000 shares. Claimant further alleges that (I) Respondent's quote

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) JOHN CUNNINGHAM, ) Claimant, ) ) Case /88-00979 vs. } Award ) MORGAN-KEEGAN & CO.. INC.. ) KENNETH J. ARENA AND ANDREW RODE, } Respondents. } ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Ms. Patricia A. Shub Mr. Terrence W. Grant CASE SUtWARY This claim was filed with the NASD, Inc. on March 25,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Zu If en no vs. Claimant Teichberg Loeb Waxman & Rabinowitz, Inc. Sol Drescher Respondents CASE #88-00976 AWARD CASE SUMMARY Claimant Frank Zulferino alleged that Respondent Sol Drescher knowingly made misrepresentations to the Claimant to cause him to purchase options. Claimant alleged such recommendations were unsuitable. Claimant allege

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant The Estate of Richard V. O'Meara. and Names of Respondents Gerwin Group, Inc. and Christopher Lee Gerwin Case Number: 01-03234 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Richard V. O'Meara ("Claimant") was represented by Paul Young, Securities A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Gwenn C. Gamse, individually and Claimant ) and as Trustee ) ) vs. ) AWARD ) Oppenheimer & Co., Inc. Respondent ) CASE NO. 88-00966 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 25, 1988. Claimant alleged that Respondent breached the fiduciary duty owed to Claimant by recommendi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Ashenbrucker Claimant(s) vs. 88-00960 Olde Discount Corp. and Michael Marsalese Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John Ashenbrucker alleged that Respondent(s) Olde Discount Corp. and Michael Marsalese was negligent with regard to a Piedmont Aviation Stock dividend. Respondent(s) maintain that Claimant was