NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Earl H. and Laurine M. Kaeselau Claimant(s) vs. Rose & Company Respondent(s) NOTICE OF ARBITRATION AWARD 88-00897 CASE SUMMARY Claiinant(s) Earl H. and Laurine M. Kaeselau alleged that Respondent (s) Rose & Company bought and sold Duke Power stock without their consent and used the proceeds from the unauthorized sale of 200 shares of Measurex

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n J ) Cal Clegg Claimant ) Award ) NASD #88-00895 vs. ) Shearcon Lehman, Hutton, Inc. Respondent ) SUMMARY OF ISSUES Claimant Cal Clegg filed this action on March 18, 1988 against Shearson Lehman Hutton, Inc. and alleged that his investment of $20,000.00 in two limited partnerships was unsuitable given his stated cons

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03223 Salomon Smith Barney and Russell Bassett Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sharon Goldszlager, hereinafter referred to as "Claimant": Lee H. Schillinger, Esq. and John A. Brekka, Jr., Esq., Law Office of Lee H. Schillinger, P.A., Hollywood, Florida. For Salomon Smith Barney ("SSB") and Ru

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael R. Sabino, (Claimant) vs. Goldis-Pittsburg Institutional Services, Inc. a/k/a Pittsburg Institutional, Inc. a/k/a Pittsburg Institutional Services, Inc., (Respondent) Case Number: 00-00974 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael R. Sabino, hereinafter referred to as "Claimant": Diana C. Prevete, Esq., Albanese, Albanese & Fiore LLP,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Thaddeus J. and Helen F. Miedlar Claimant(s) vs. E.F. Button & Co., Inc., Jeff Mackevich and Gene Mackevich Respondent(a) AWARD 88-00890 The Arbitrator, Janet Weiss, 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 parties on Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward L. Bowne Claimant(3) vs. AWARD 88-00889 PaineWebber, Inc., Hector Valdez, and Edward Strohm Respondent(a) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) Edward L. Bowne alleged that Respondent(a) PaineWebber, Inc., Hector Valdez, and Edward Strohm failed to execute a sell order on a timely basis. Respondent(8) deny Claimant's allegation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the THERESA KASIANOV and JOHN G. KINNARD i CO PHILLIP G. SMITH Arbitration Between Claimant(s) ., INC. AND Respondent (s) ) ) ) ) ) CASE NO. 88-00887 CASE SUMMARY In a claim filed on or about March 17, 1988 the Claimant alleged that the Respondent Smith recommended the purchase of common stocks which were unsuitable for the Claimant. The

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) THOMAS 0. DURFEE and ELENA ) M. DEMAS f/k/a DURFEE, ) Claimants, ) ) Case 188-00872 vs. ) Award ) FEDERICO ROA, ALAIN MUGGLER, JOHN GARRETT. ) ERNESTO GONZALEZ, MERRILL LYNCH. PIERCE, ) FENNER & SMITH, INC. and MERRILL LYNCH ) INTERNATIONAL & CO., ) Respondents. ) Heard before the members of the Arbitration Panel: William A. Calvo II

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Castiglione, Individually and as Trustee for Executive Asset Management, Inc. Claimant vs. Shearson Lehman Brothers, Inc. John Fennelly Michael Burns Respondents AWARD #88-00861 Case Summary Claimant alleged that Respondents misrepresented the nature of an investment in a municipal bond fund which was allegedly a stock investment instea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert J. Salerno, ) ) Case #88-00853 Claimant ) vs. ) ) Award ) PaineWebber, Inc., ) Shearson Lehman Brothers, Inc. and } Jack Elf, ) Respondents ) On April 7, 1989 and April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitra- tion signed by the Claimant on Marc