NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carl J. Ferreira Claimant VS. Oean Witter Reynolds, Inc. and Veronica McNulty Respondents Case 186-00360 AWARD CASE SUWARY 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 Claimant, Carl J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald W. Fritz and Kathleen A. Fritz Claimant(s) vs. 87-00437 Blinder, Robinson & Co., Inc. vs. Keith Daubenspeck Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald W. Fritz and Kathleen A. Fritz alleged that Respondent(s) Blinder, Robinson & Co., Inc. failed to execute Claimants' sell order. Respondent(s) denies Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Keyvan Pourmehr ) Claimant ) ) AWARD vs. ) ) NASD NO. 87-00426 Charles Schwab & Co. ) Shearson Lehman Brothers, Inc. ) Merrill Lynch, Pierce, Fenner & Smith, Inc. ) Jeffrey Miller ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 31, 1987. Claimant alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Brom, Ann J. Brom and ) Frances Mae Brom Claimant(s) AWARD vs. CASE NO. 87-00335 Creative Securities Corp., ) Dan Giedt and Bear Stearns Respondent(s) ) SUWARY OF ISSUES This case was filed on March 12, 1987. Claimants allege that Respondents Creative Securities Corporation and Dan Giedt deceived, misrepresented and induced Claimants to in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD J. GALUSKA, claimant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Respondent. AWARD NASD NO. 87-198 On February 23, 1988, March 2, 1988, April 27, 1988, October 10, 1988 and January 18, 1989 in Chicago, Illinois, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Dorthie Cohen vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Case * 86-01115 Case Summary Claimant, Dorthie Cohen aliened that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. sold her limited partnerships that were unsuitable to her as an investor and without full disclosure to her of the risks of the investment. Respondent, Merrill

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD CASE NO. 86-00953 In the Matter of the Arbitration Between ] * Judith Perper Claimant ] vs. ! Dean Witter Reynolds, Inc. and Respondents ] Ralph Snyder ) SUMMARY OF ISSUES This claim arises from a complaint filed in San Diego Superior Court, Case 1544692, dated July 8, 1985 naming Howard Reynolds, Jr. ("Reynolds"), Ralph L. Snyder ("Snyder") and Dean Witter Reynolds, Inc. ("Dean

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Natu Patel Claimant(s) vs. Norman Letch Respondent(s) NOTICE OF ARBITRATION AWARD 86-00896 CASE SUMMARY Claimant(s) Dr. Natu Patel alleged that Respondent(s) Norman Letch mishandled his account. Respondent(s) did not defend. RELIEF REQUESTED Claimant (s) Dr. Natu Patel requested damages of Three Thousand Five Hundred Forty Five Dollars and

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ashley Rhoden and 01-02707 Dallas, Texas Name of Respondents Ameri-First Securities Corporation Ryan Mark Reynolds Jeffrey Charles Bruteyn James Norman Chatham, n Louis N. Dunklin REPRESENTATION OF PARTIES Ashley Rhoden ("Claimant") was represented by Tracy Pride Stoneman, Esq., Westcliffe, Colorado. Ameri-First Securities Corpor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ) ) DOUGLAS L. OEST , ) ) Claimant ) ) Case #87-00211 vs. ) ) Award TEICHBERG LOEB WAXMAN & RABINOWITZ, INC. ) ) Respondent ) CASE SUMMARY Claimant Douglas L. Oest (Claimant) alleged that he purchased 3000 shares of Laser Arms Corporation for $4,876.00. Claimant alleged that the broker pushed "phony" stocks and that the money sho