ilATIOHAL ASSOCIATION OF SECURITIES DEALEUS, IflC. In the Matter ot Arbitration Between ) > JULIAN B. JEFF BAIR PHILLIPS V. ; Claimant ) ) ) Respondent ) ) NASD NO. 87-02477 CASE SWHARY In a claim filed with the NASD on December 7, 1987, Claimant Julian B. Phillips ("Phillips") alleged that an unauthorized purchase of 1000 units of Utilitech, Inc. was made near the end of November 1986 for Phillips' securities acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elaine Matheos vs. Escalator Security, Inc. Howard and Laura Seal a Thomson McKinnon Securities, Inc. Claimant Respondents CASE 187-02476 AWARD CASE SUMMARY Claimant, Elaine Matheos alleged Respondents, Escalator Security, Inc. and Howard and Laura Scala had churned her account and had purchased securities of doubtful Intrinsic value against

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) PaineWebber, Inc. ) Claimant ) ) Case ^87-02473 vs. ) Award ) .John Stanley ) Sandra Stanley Respondents ) vs. ) ) Dean Ledger ) Third Party Respondent ) CASE SUMMARY Claimant alleges Respondents failed to meet margin calls, therefore. Claimant wa forced to liquidated the account resulting in a debit balance of 559,655.00. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Womer Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Robert Berry Diane Spencer Respondents CASE #87-02459 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1987 Claimant George Womer alleged the Respondents breached their contractual and fiduciary duties owed to him b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. and THOMAS T. BRYAN Claimant Respondent CASE NO. 87-02452 AWARD On April 20, 1989 in Minneapolis, Minnesota, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Paul J. Maggio on behalf of the Claimant on December 1, 1987. The Respondent did not answer and did

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02768 Frank Michael Yanez and Candida Yanez, claimants vs. A.G. Edwards & Sons, Inc., and Daniel Joseph Disimile, respondents. ATTORNEYS: Claimants appeared pro se, Playa del Rey, CA. For Respondent A.G. Edwards & Sons, Inc., appeared Matthew R. Salamon, Esq., in-house counsel, St. Louis, MO. Respondent Daniel Joseph Disimile appeared pro se, Woodland Hills, CA. DATE FILED: May

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RUAN SECURITIES CORPORATION, ) Claimant/Counter ) Respondent, ) Case #87-02444 vs. ) Award SCHEINGARTEN FAMILY INVESTMENT TRUST, ) Respondent/Counter Claimant/ ) Third Party Claimant, } vs. ) JOHN N. MURPHY, HARRY SCHILLER, and ) TIMER DIGEST, INC., ) Third Party Respondents. ) Heard before the members of the Arbitration Panel: Richard

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) PAINEWEBBER, INC. ) Claimant ) and ) ) CASE NO. 87-02434 ) R. C. HANSEN ) ) Respondent ) CASE SUMMARY PaineHebber, Inc. ("Claimant") alleged that R. C. Hansen ("Respondent") is indebted to the Claimant for the debit balance which exists in the Respondent's account. Respondent denied the claim and further alleged a counterclaim as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Suzanne Karres and ) Timothy J. Markus Claimant(s) ) ) AWARD vs. ) CASE NO. 87-02251 Bateman Eichler, Hill Richards, Inc., Timothy Tunney, and PaincHcbber, Inc. Respondent(s) ) PaineWebber, Inc. Counterclaimant ) vs. ) Suzanne Karres and Counter- ) Timothy J. Markus Respondents ) SUWARY OF ISSUES The case was filed on November 17,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Barile Claimant(s) vs. 87-02157 Robert H. Joyce Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William J. Barile alleged that Respondent(s) Robert H. Joyce withheld stock certificates. Respondent(s) maintains that he was improperly named as a Respondent in this dispute. RELIEF REQUESTED Claimant(s) William J. Bar