NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Martin K. Donaldson, ) Claimant, } ) Case J88-00779 vs. ) Award ) Prudential-Bache Securities, ) Respondent. ) ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. James R. Kennedy Jr., Esq. Mr. Arthur De Stefano CASE SUMMARY This claim was filed with the NASD, Inc. on March 9, 1988. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. .«Kv^«w*«< taw< Hvw«»»'< *»« B '>^«r«>w***< » HMVWMWWHMa **"* l> * aww "* HV *»** M *w WWMM **» VB ' B< IM '*»* In the Matter of the Arbitration Between ) Malcolm Gissen, Trustee Claimant ) ) Case 188-00770 vs. ) Award Thomson McKinnon Securities, Inc. Respondent Robert S. Johnson On April 18, 1989 and May 16, 1989, the undersigned arbitra

Fred K. Thomson, ) Claimant ) v. ) Case No. 88-00762 Edward D. Jones & Co. ) Respondent ) PROCEDURAL SUMMARY On March 8, 1988, Fred K. Thomson filed with the National Association of Securities Dealers, Inc. (hereinafter "NASD") a Statement of Claim asserting a cause of action against Edward D. Jones & Co. (hereinafter "Respondent"). A Statement of Answer was filed with the NASD on May 8, 1988 by the Respondent. Uniform Submission Agreements

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between A. J. Parker, Claimant vs. Sonia D. Scnulte, Respondent CASE #88-00754 AWARD The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Claimant on April 15, 1988 and not signed by the Respondent as required u

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Gary T. Bolt, Respondent Case Number: 01-03221 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: Kevin M. Gleason, Esq. Diane C. Fischer, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Reynolds Williams, Esq. Willcox, Buyck & Williams Florence, South Carolina CAS

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DR. KLAUS KALTHOFF ) Claimant } and } ) CASE NO. 38-00750 NEW ENGLAND SECURITIES CORP. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on February 24, 1988 and an Amended Statement of Claim filed with the NASD on December 5, 1988, Claimant Dr. Klaus Kalthoff ("Claimant") alleged that Respondent New England Securities Corporatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) HELMA H. NEWTON AND RICK L. BROWN, ) as Trustee et al. ) Claimants ) and . ) ) CASE NO. 88-00730 ) BOETTCHER & CO., INC. AND ) BRIAN R. BENNETT ) Respondents ) CASE SUMMARY Helma Newton ("Newton") and Rick L. Brown Trustee of Newton Trusts one through four (Newton and Brown are collectively referred to herein as "Claimants") alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Larry S. Norris, ) Claimant, ) ) Case /88-00727 vs. } Award Barry LaChance and ) R.B. Marich, Inc., ) Respondents. ) CASE SUMMARY This claim was filed with the NASD, Inc. on Karch 3, 1988. The hearing was conducted on July 19. 1989 in Tampa, Florida, with a total of two (2) hearing sessions. Claimant, Larry S. Norris ("Norris"), alleged that, base

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gerardo Joffe, individually and Claimant on behalf of Priscilla Joffe, Rachel Joffe, Joseph Joffe and Michael Joffe vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent } ) AWARD ) ) ) CASE NO. 88-00723 SUWARY OF ISSUES In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 19B8, Claimant all

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas H. and Genevieve P. Gabriel vs. Steinberg & Lyman and Keith A. Daniels Claimant(s) Respondent(s) HOTICE OF ARBITRATION AWARD 88-00721 CASE SUMMARY Claimant(s) Thomas H. and Genevieve P. Gabriel alleged that Respondents) Steinberg & Lyman and Keith A. Daniels committed unauthorized trading in Claimants' account held with Respondent.