NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) RAYMOND F. FISCHER ) Claimant ) v. ) CASE NO. 88-00957 ) AWARD MERRILL LYNCH, PIERCE, FENNER & } SMITH, INC. AND RICHARD M. FLACK ) Respondents ) On May 15 through 20, 1989 in Minneapolis, Minnesota the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Raymond F. Fischer on March

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph K. and Anne Thomas Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) AWARD 88-00951 The Arbitrator, Harold Wessel, Esq., 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 the Claimant on March 18, 1988 and by the Respondent; And, tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond C. Mayer and ) Edith V. Mayer, ) Claimant. ) ) Case 188-00944 vs. ) Award Prudentiai-Bache Securities Inc. and ) Edward J. Bukala. Jr., ) Respondent. ) CASE SUMMARY This claim was filed with the NASD. Inc. on March 23. 1988. The hearing was conducted in Tampa. Florida with a total of three (3) sessions. Claimants. Raymond and Edith May

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN and LOUISE R. ZERVAS, ) Claimants, ) ) Case 188-00942 vs. ) Award DREXEL BURNHAM LAMBERT, INC., STEVEN ) FLACCO and JAMES STRAINER, ) Respondents. ) Heard before the members of the Arbitration Panel John B. Kelley, Esq. Harry Polansky Gary L. Stark CASE SUMMARY This claim was filed with the NASD, Inc. on March 23, 1988. The hearing wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton Schatz Becky Schatz Eric Schatz Claimants vs. Eastern Capital Securities, Patricia Marika Vincent Sigliano Inc. Respondents CASE #88-00936 AWARD CASE SUMMARY Claimant alleges Respondents made misrepresentations relating to the value of his account and failed to follow his instructions to liquidate his account. damages.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n J C. Michael Madsen Claimant ) Award ) NASD #88-00927 vs. ) Sentra Securities Corp. Respondent/ Third-Party Claimant vs. Joseph Misiuda Third-Party Respondent SUMMARY OF ISSUES This case was filed March 22, 1988. Claimant alleged damages for unauthorized transactions and violation of Section Seven, Regul

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Donald C. Schmucker vs. Oppenheimer & Co., Inc. Claimant AWARD Respondent CASE #88-00915 CASE SUMMARY Claimant asserts that Respondent failed to execute orders as instructed. Respondent contends Claimant failed to pay for stock despite due deaand. RELIEF REQUESTED Claimant seeks damages of $25,000.00. Respondent counterclaims for S32.930.00,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ; ) Esther M. Britton Claimant ) Award ) ) NASD #88-00913 i Merrill Lynch, Pierce, Fenner & Respondents ) Smith, Inc. and Louis A. Santisteven ) ) Heard Before the Arbitration Panel: Margaret Kallman Kathryn J. Toronto Wendell W. Witter SUMMARY OF ISSUES This case was filed on March 21, 1988. Claimant alleged that she had no knowledg

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant 01-03231 Minneapolis, Minnesota Name of Respondents Kirlin Securities, Inc. Douglas Durcanin REPRESENTATION OF PARTIES Russell Campbell ("Claimant") was represented by Daniel D. Hill, Esq., Maple Grove, Minnesota. Kirlin Securities, Inc. ("Respondent Kirlin") and Douglas Durcanin ("Respondent Durcanin") were represented by Paul J. Delmore, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nicholas Pascarella Claimant(s) vs. AWARD 88-01063 Gladstone Securities and Barton Berek Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant Nicholas Pascarella alleged that Respondents Gladstone Securities and Barton Berek mishandled the execution of a sell order of 200 shares of Robotool Inc. Stock. Additionally Nicholas Pascarella all