NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Gerald Stuckelman Claimant vs. Case 188-01915 AWARD Blinder Robinson & Co., Inc. Neil Linden Respondents CASE SUMMARY Claimant, Gerald Stuckelman alleged that Respondents, Blinder Robinson & Co., Inc. and Neil Linden sold stock in his cash account and issued a check to him for the proceeds. Thereafter, Claimant alleged that Respondents deman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Michael T. Long and Stephen E. Gershwind Co-Trustees Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Hummer Respondents Award ) NASD No. 88-01910 Merrill Lynch, Pierce Fenner & Smith, Inc. and Thomas Hummer Third Party Claimants and Cove Mortgage Company and TRI-AD, The Research Institute of Administration, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dominick S. and Rose Marie Rocco Claimant(s) vs. Stuart James Investment Bankers and Barry Gershberg Respondent(s) AWARD 88-01908 The undersigned being the Arbitrator 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 June 10,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between VS. Claimant* ) Award NASD # ) Respondents ) SUMMARY OF ISSUES This case was filed on -T^CF (* ttSg> C«-/>. t -m TO (_tO»-«.»i>M-Tf DAMAGES AND RELIEF REQUESTED ^l^^^^. 00 DAMAGES AND RELIEF AWARDED On '*"-•-& ^vr 2. the undersigned arbitrators heard the controversy in o^g sessions; between the parties as set forth in

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reoinald and Oneida S. Lee Claimant (s~) vs. Rachel Haft, Mario lannacc, Terri Rubino (Dime Savings Bank) and Invest Respondent(s) NOTICE OF ARBITRATION AWARD 88-01906 CASE SUMMARY Claimant Reginald and Oneida S. Lee alleged that Respondents Rachel Haft, Mario lannacc, Terri Rubino (Dime Savings Bank) and Invest did not stay in. communication

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A. Westcott Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Lyle Schultz Respondents Case 488-01897 AWARD CASE SUMMARY Claimant, George A. Westcott, contends that Lyle Schultz, a financial advisor with Merrill.Lynch, Pierce, Fenner & Smith, Inc., recommended that he invest over three quarters of his portfolio in Safecard Services

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration ?etween ) MICHAEL PEARCE ) Claimant ) and ) ) CASE NO. 88-1895 SHEAFSON LEHMAN BROTHERS ) JANE RHODES ) Respondent ) CASE SUMMARY In a Claim filed on or about June 13, 1988 the Claimant alleged that the Respondent Rhodes falsely informed him that his shares of common stock could not be sold pursuant to his instructions on October 13, 1987. The Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henrv T. Kim and Julia 0. Kim Claimants Case #88-01891 vs. ) Award ) PaineWebber, Inc. and Timothy Tunney Respondents ) ) CASE SUMMARY Claimants filed this action on June 13, 1988 against Respondents for negligence, failure to disclose material facts, and for the recommendation of'unsuitable securities in light of Claimants' investment objectives. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Paul Aucoin Claimant vs. Fidelity Brokerage Services, Inc. Respondent Case 188-01887 AWARD CASE SUMMARY Claimant, Paul Aucoin alleged Respondent, Fidelity Brokerage Services, Inc. executed transactions in Claimant's account without obtaining authorization and breached the fiduciary duty it owed to the Claimant. Claimant further alleged Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS ========s================================== In the Matter of the Arbitration Between . Donald P. Foudrait vs. Fidelity Investments Claimant Respondent Award #88-01879 The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on June 7, 1988 a