NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Violetta R. Gamarra and Krishna Kumar Mundiath Claimant(s) vs. 90-00156 Marshall Davis, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Violetta R. Gamarra and Krishna Kumar Mundiath alleged that Respondent(s) Marshall Davis, Inc. misquoted the price of stock upon which Claimant relied upon not to sell. Respondent has

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In the Matter of Arbitration Between HAROLD H. OENSFORO v. Claimant NASD NO. 88-01190 ROBINSON HUMPHREY CO., INC. Respondent CASE SUHMARY In a claim filed with the NASD on April 14, 1988, Claimant Harold Densford ("Densford") alleged that on October 20, 1987 his entire securities portfolio was liquidated causing a loss in his account. Densford alleged this action was taken without aff

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William B. Saunders Claimant(s) ARBITRATION vs. AWARD 88-01186 Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) William B. Saunders alleged that Respondent(s) Brooks, Weinger, Robbins & Leeds, n/k/a Greentree Securities Corp. and William Halamicek failed t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between \ lie « I tw 3 I Joan and Randall Yearwood and Private Ledger Financial Services, Inc. and Janes H. Samuel Respondents ( s \ CASE SlflWARY In a claim filed with the NASD on or about April 14, 1988, Claimants Joan and Randall Yearwood ("the Yearwoods") alleged that Respondents Private Ledger Financial Services ("Private Ledger") and Jama

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Beatrice B. Toberman ) ) Claimant ) and ) A W A R D ) E.F. Mutton & Co., Inc.; ) 88-1178 Charles S. Aker ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on April 14, 1988, Claimant Beatrice Toberman ("Toberman") alleged that Respondents E.F. Hutton & Co., Inc. ("Hutton") and Charles Aker ("Aker") made unauthorize

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Florini Claimant (s~) vs. . _ . Brownstone Smith Securities Corporation and Paul F. Joyce Respondent(a) NOTICE OP ARBITRATION AWARD 88-01175 CASE SUMMARY Claimant James Florini alleged that Respondent Brownstone Smith Securities Corporation through Paul F. Joyce failed to execute the Claimants sell order of Thoroughbred Investments Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Maxwell State Bank ) ) Claimants ) and ) A W A R D ) 88-01170 Westcap Government Securities, Inc.; ) Malcolm Brown ) Respondents ) CASE SUMMARY Claimant, Maxwell State Bank ("Maxwell") sought damages from Westcap Government Securities, Inc. ("Westcap") and its' registered representative, Malcolm Brown ("Brown") (Westcap and Brown

NASD DISPUTE RESOLUTION AWARD XASD DISPUTE RESOLUTION. CVC. CASE:01-03187 Ron Sossi, claimant vs. Charles Schwab and Company, respondent. ATTORNEYS: Claimant appeared Pro Se, Los Angefes, CA. For Respondent appeared Richard A. Karoly. E$cj., in-house counsel. San Francisco. CA. DATE FILED: June 15, 2001 CASH SUMMARY: Claimant alleged that respondent purchased stocks without his knowledge or authorization and later liquidated his account without his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Alberto Perez Cantu vs. Gilbert Castaueda, Peter Gerrity and Merrill, Lynch, Pierce, Fenner & Smith Claimant(s) Respondent (s) / ) AWARD ) CASE #88-01169 SUMMARY OF ISSUES This case was filed on April 12, 1988. Claimant, Alberto Perez Cantu, alleges that Respondent, Merrill Lynch, through its representatives Gilbert Castaneda and Peter Gerrity, caused claimant to suffer damages by

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Drexel Burnham Lambert, Inc. AWARD Claimant 188-01166 vs. David Kleinman and Gladys Kleinman Respondents Case Summary Claimant Drexel Burnham Lambert, Inc. alleged that Respondents David and Gladys Kleinman owed it monies for the debit balance that remained in Respondents' account after the sell of Ragen Corporation. Respondents counterclaimed against the Cla