N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael T. and Rose F. Stefaniak 93-03608 Name of Respondents Olde Discount Corporation Mark Cohen CONSOLIDATED WITH In the Matter of Arbitration Between Name of Claimant Edward Romm 93-03072 Name of Respondents Olde Discount Corporation Mark Cohen REPRESENTATION For Claimants Michael T. and Rose F.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael T. and Rose F. Stefaniak 93-03608 Name of Respondents Olde Discount Corporation Mark Cohen CONSOLIDATED WITH In the Matter of Arbitration Between Name of Claimant Edward Romm 93-03072 Name of Respondents Olde Discount Corporation Mark Cohen For Claimants Michael T. and Rose F. Stefaniak ("Stefan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Bernard and Inez I. Sloane ) Claimants ) and ) A W A R D 88-00401 E. F. Hutton & Co., Inc; Bert Struthers and George L. Holley Respondents SUMMARY OF CASE In a claim filed with the NASD on February 8, 1988, Claimants Bernard and Inez Sloane ("the Sloanes") alleged that Respondents E.F. Hutton & Co., Inc. ("Hutton"), Bert Struthers ("Struthe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Paula Kelly Claitnant(s) vs. American Capital Sec. Inc and Arthur Molloy Respondent(s) •) ) AWARD CASE #88-00400 SUMMARY OF ISSUES This case was filed on February 8, 1988. Claimant alleges that she contacted Respondent Molloy and requested that he transfer funds from her Oppenheimer Equity Income Fund to her Oppenheimer Money Market Account. Subsequently she discovered that the swi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: H&R Block Financial Advisors, Inc., (Claimant) vs. Abram Penyok and Lidia Layvant, (Respondents) Case Number: 01-02728 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Donald P. Wray, Jr., Esq., Assistant General Counsel, H&R Block Financial Advisors, Inc., Detroit, ML Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the -Arbitration Between Don B. Larsen & Tom B. Larsen Claimant ) Case #88-00381 vs. E.F. Hutton & Co,, Inc., Hugh Fuller, Jim Nielsen Respondent Award On January 26, 1989, the undersigned arbitrators heard the controversy between tho parties as set forth in submissions tc arbitration signed by Claimants on January 22, 1988, by Respondents Hugh Fuller on May 10, 1988,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) George F. Hart, IV ) Claimant ) and ) A W A R D ) Dean Witter Reynolds, Inc. ) 88-00379 Respondent ) CASE SUMMARY In a claim filed with the NASD on or about February 5, 1988, Claimant George F. Hart, IV ("Hart"), a 51 year old blind man, alleged that Respondent Dean Witter Reynolds, Inc. ("Dean Witter") engaged in speculative and excessiv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN DAVIS ) Claimant ) v. ) ) CASE NO. 88-00331 PERSHING DIVISION OF DONALDSON, ) AWARD LUFKIN AND JENRETTE AND QUICK & ) REILLY CLEARING CORP. ) Respondent(s) ) On May 4, 1989 in St. Louis, Missouri, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 18, 1989 by

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between THOMSON MCKINNON SECURITIES, INC. Claimant and GARY E. SMITH, as Trustee for the GARY E. SMITH, II Trust and GARY E. SMITH, II Respondent ) CASC NO. fla-flojgg • I I I7> ^< r r:o CASE SUMMARY In a Statement of Claim filed with the NASD on February 1, 1988, Claimant Thomson McKinnon Securities, Inc. alleged that Respondents failed to p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association < Securities OMtorsr ln> NASD Financial Centt 33 Whitehall Street New York, New York ' William P. Kirby vs. Marges of Respondents Dean Witter Reynolds, Inc. Gregory Peterson Names of Tfr-i rd-Par Dean Witter Reynolds, Inc. Gregory Peterson vs. Francis Fraine Case # 88-00322