NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) MYRTLE BAUER ) Claimant ) AWARD v. ) NASD NO. 88-00313 WALTER WARD & MERRILL LYNCH, PIERCE ) FENNER & SMITH, INC. ) Respondents ) On May 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 29, 1988 by Claimant Myrtle Bauer, on June 27, 1988 by Francis C. Musselm

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rev. Everett A. and Eleanor S. Ostrom Claimant(s) vs. 88-00311 Sandy Deatherage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Rev. Everett A. and Eleanor S. Ostrom alleged that Respondent Sandy Deatherage neglected to inform them of the 4.9% transaction fee deducted from their government mutual fund. Respondents maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) DANIEL F. WITHALL and DANIEL E. WIIHALL } D.V.M., P.C. ) Claimants ) NASD NO. 83-00305 v. ) LINDA L. SOKOL and WADDELL & REED, IN. } Respondents ) CASE SUMMARY Daniel F. Withall and Daniel F. Withall, D.7.M., P.C. ("Claimants") alleged that Linda Sokol, who was his bookkeeper and also a registered representative with Waddell & Reed (Sokol and Wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sattar "" Claimant vs. Eastern Capital Securities, Inc. Eastern Capital Corporation, Inc. Securities Settlement Corp. Lawrence Baras Respondents CASE #88-00299 AWARD CASE SUMMARY Claimant Dale Sattar alleged that Respondents Eastern Capital Securities, Inc. (hereinafter "ECS") illegally dealt with Claimant by encouraging him to trade

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur & Gladys Freilich 88-00285 Claimant vs. OATH AND AWARD OF ARBITRATOR SBT Brokerage Services, Inc. Respondents Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02725 Anthony J. Mirigliani and Lucille T. Mirigliani, JTWROS Names of the Respondents Hearing Site: Tampa, FL James Haught, Keith Kline and Raymond James & Associates, Inc, REPRESENTATION OF PARTIES Anthony J. Mirigliani and Lucille T. Mirigliani, JTWROS, hereinafter collectively referred to as "Claimants," appeared pro se. For Respondent James Haught ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name q Dean I. Ader 88-00270 Name of Respondent s) Frank Grillo Heard before: Name Public/Industry Edward Brunet Public This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 21, 1988. Claimant alleged that Frank Grillo, who represented Equities International Corporation and who was apparen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Colby Collier Will jam Collier Claimants vs. } ) ) ) jCa Case #88-00268 Award ) Prudential Bache Securities, Inc. ) Robert Davidson ) Gale Alden ) Respondents ) CASE SUMMARY Claimants allege that Respondents recommended unsuitable investments in United States Treasury strip coupons. Claimants maintain that Respondents

IJATIOHAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between ) ) HALTER PLACKO, TRUSTEE ) Claimant ) v. ) AWARD HORWITZ SCHAKNER & ASSOCIATES, INC. ) NASD NO. 88-00246 and RANDALL C. SCHAKNER ) Respondents } •..>*•- . n Wednesday, April 12, 1989, the undersigned .-heard the controversy between the parties as set forth in submissions to arbitration signed on January 21, 1988 by Claimant Halter Placko,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hartford A. Henry ) Marian Henry ) Claimants ) ) Case #88-00236 vs. ) Award ) Smith Barney Harris Upham & Co., Inc. ) Arnold Schwartz Respondents ) ) On April 18 and May 16, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Hartford A. and Marian Hen