NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard Stone Claimant(s) vs. Andrew Peck, Inc. vs. Securities Settlement Corp. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00208 CASE SUMMARY Claimant(s) Richard Stone alleged that Respondent(s) Andrew Peck, Inc. failed to pay interest on funds deposited by Claimant in an account maintained with Respondent, after verbally advising Cl

A i bitf MMMI ^••MMOTHBHMIBMM National AasMMOton of NKHGNRL ASSQdKnm OF SECURITIES NASD Financial Cantar 53 Whitehall Sfraat New rorK. N«w York 10QC In the Matter of the Arbitration Between of J. McBreen vs David A. Dole Meyer Blinder Case # 90-00207 This claim was filed with the Nstional Association of Sprnril-lpn Dealers, Inc. on January 18, 1990. Ite case was heard on October 30 and 31, 1990, in •• Klli .-,. .•HMJ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rudy A.M. Malizia Claimant(s) vs. 90-00204 Daley Securities, Inc., Robert Waitkus, and Robert Donellan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Rudy A.M. Malizia alleged that Respondent(s) Daley Securities, Inc., Robert Waitkus, and Robert Donellan negligently mishandled Claimant's account held with Respondent. Re

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between W. M. Sanders 90-00202 Prudential-Bache Securities Inc. Porcari Fearnow & Associates, Inc. Claimant W. H. Sanders was pro se. Respondent Porcari Feamow & Associates, Inc. was represented by Donald J. Willy of Donald J. Willy & Associates, Houston, Texas. Respondent Prudantial-Bache Securities, Inc. was represented by Charles T. Richard, of Prud

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Robert Senior x Claimant x x CASE NO. vs. x 90-00191 x Thomas James Associates x AWARD x Respondent x , x CASE SUMMARY Claimant, Robert Senior, alleged that Respondent, Thomas James Associates, did not act in the Claimant's best interests in the handling of his account, and failed to sell the Claimant's Phoenix Laser Systems stoc

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration between Elio Bruno, Claimant v. Prudential Securities, Inc. and John Reynolds, Respondents. Case Number: NASD-DRNo. 01-03206 REPRESENTATION OF PARTIES Claimant, Elio Bruno, hereinafter referred to as "Claimant": M. Abraham,New York, NY Respondents, Prudential Securities, Inc. ("Prudential"), John Reynolds ("Reynolds"), hereinafter collectively referred to as "Respondents": Patrici

N.A.S.D^AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Attra Claimant 90-00190 and Dean Witter Reynolds, Inc., Oppanheiiner & CO., and Ken Haiti Claimant was represented by Dennis Taylor of Riddle & Associates, Houston, Texas. Respondents Dean Witter and Kan. Harb were represented by Curt Maeller of Dean Witter Reynolds, Inc., San Francisco, California. Respondent Oppenheimar and Co., Inc. was re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Jeffrey & Luanne Corcoran 90-00183 Nape of Respondent^ s ) Olde Discount Corporation In a Statement of Claim filed with the NASD on January 16, 1990, Claimants Jeffrey and Luanne Corcoran alleged that Respondent mishandled a stock sale by selling the same 500 shares of stock they owned in H&R Block, Inc. twice. Furthermore, Claimants a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Beth K. Segal Claimants) vs. 90-00188 Jeff Welsh, Shearson Lehman Hutton, Inc. and Jim Harrington Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Beth K. Segal alleged that Respondent(s) Jeff Welsh, Shearson Lehman Hutton, Inc. and Jim Harrington engaged in churning, misrepresentations, and made unsuitable recommendations.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John L. Barron Claimant(s) vs. 90-00184 Bagley Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John L. Barron alleged that Respondent(s) Bagley Securities, Inc. sold to Claimant securities which were not registered for sale in Claimant's state of residence, failed to provide a prospectus, misrepresented the