NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Gregory Spencer, vs. Charles Schwab and Co., Inc., Claimant. Respondent. Case /87-01282 Award Heard before the members of the Arbitration Panel: John P. Cullem, Esq. Sam Giunta, Esq. Joseph G. Lananna CASE SUMMARY This claim was filed with the NASD, Inc. on July 15, 1987. The hearing was conducted in Tampa with a total of six sessions. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Lawrence D. Crowder } Claimant and ) A W A R D Roney & Co.; E.F. Hutton & Company and ) 87-01271 John Tomlinson Respondent On Tuesday, May 2, 1989 in Southfield, Michigan, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on June 1, 1988 by Claimant Lawrence D. Crowder, on Septem

NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between V «> M —. • V « —««»—«•—» — ™— •"••••™*™«*-*»«*"»»»«W«»^«»«»»™»»» — — ,,^^• »*•»• ^ • •• • • 1 TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. DENNIS DOBES, Claimant. vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, Respondents.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER, STEPHEN and KIM LUMLEY, vs. PRUDENTIAL-BACHE SECURITIES. INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. »»•••••*•»•«..•.•,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrations Between TOM and PATRICIA TRUEDSON, Claimants, vs. PRUDENTIAL-BACHE SECURITIES, INC.. JOHN G. KENNING and JOHN CARPENTER. DENNIS DOBES, vs. PRUDENTIAL-BACHE SECURITIES, INC., JOHN G. KENNING and JOHN CARPENTER. STEPHEN and KIM LUMLEY, vs. PRUDENTIAL-BACHE SECURITIES. INC., JOHN G. KENNING and JOHN CARPENTER, Respondents. Claimant, Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lois A. Hollis C/F Angel E., Alicia G., and Andrianna M. Hollis UGMAVA Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Roland J. Pennell Respondent(s) NOTICE OF ARBITRATION AWARD 87-01245 CASE SUMMARY Claimant (s) Lois A. Hollis C/F Angel E., Alicia 6., and Andrianna M. Hollis UGMAVA alleged that Respondent(s) vs. Merrill L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cosmo L. Bordonaro, the Cosmo Bordonaro Basic IRA, the Cosmo Bordonaro IRA, and the Cosmo Bordonaro IRA Rollover, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Louis Telerico, (Respondents) Case Number: 01-02610 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants, Cosmo L. Bordonaro, the Cosmo Bordonaro Basic IRA, the Cosmo Bordonaro IRA, and the

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Milton L. Strickland v. A.G. Edwards & Sons, Inc. Case Number: 00-00864 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Milton Strickland referred to herein as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. Respondent A.G. Edwards & Sons, Inc., hereinafter Referred to as "Respondent": M. Jane Ma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between VICTOR and MARILYN TETREAULT, JTWROS, vs. BEAR STERNS t COMPANY and STEVEN KIRSCH, Claimants, Respondents. Case #87-01239 Award Heard before the members of the Arbitration Panel: Constance J. McCaughey, Mr. Roger C. Benson Mr. Jeffrey Wuliger Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 15. 1987. The hearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry & Betty Mae Ruder Claimant(s) vs. Blinder Robinson 6 Co., Inc. vs. Matthew Bradbury Respondent(s) AWARD 87-01193 The Arbitrator, Mary E. Baker, 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 August 4, 1987 and Apr