NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Craig W. Tompkins, Claimant vs First Jersey bec-irities, Inc. Respondent Case --'86 -01190 Award The undersigned, being the arbitrator selected to review and determine a matter ir. controversy between the above-mentioned Claimant and Respondent, as set for-.li in a submission to arbitration signed by the claimant on Sept- ember /4, 1986 and signed by the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Nancy Plumitallo Claimant vs. Maria Josephine Saul i no Respondent CASE #86-01095 AWARD The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Claimant on August 21, 1986 and signed by the Respondent on No

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) PaineWebber, Inc., )- Claimant, ) ) Case #86-01034 vs. ) Award Hardee Land Co., Darroh Bros. Inc., ) H.G., Larry & Jerry Darroh, ) vs. ) William Collard Jr. & Tracy J. Allen, ) Respondents. ) Heard before the members of the Arbitration Panel: George Felos, Esq. Mr. Sam Giunta. Esq. Mr. Fred T. Rodgers Mr. Roger Robeson Mr. Terr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) H. Thomas Rector, ) ) Claimant ) Case #86-01004 ) vs. ) Award Merrill Lynch, Pierce, Fenner & Smith, Inc., ) and Roger Coe, ) ) Respondents ) CASE SUMMARY Claimant, H. Thomas Rector, alleges that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Roger Coe, failed to properly monitor his option accounts and the check-writin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qfClaimantfs) Suzanne de Kuyper 86-00985 A.G. Edwards & Sons, Inc. Thomas D. Rogers Heard before: Name Public/Industry William M. Prifti, Esq. Public Arbitrator Sydney Parlow Public Arbitrator Janes Fox Industry Arbitrator This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: ROGER MCIVER and MARLA JO MCIVER, Claimants, AWARD NASD CASE NO. 86-00531 v. HARRY HENZEL and ROBERT SCARMAZZO, Respondents, and HARRY HENZEL, Third-party Claimant, v. RICHARD SCHUMAN, Third-party Respondent. On May 9th and 10th, 1989, the undersigned arbitrators hoard the controversy between the parties as set forth in the su

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Pagp Numhftr- 01-02488 A.G. Edwards & Sons, Inc. nf the Respondent Hearing-Site: Dallas, Texas Tony M. Stevens PFPRFSFNTAJJON OF PARTTFS Claimant A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Michael Naccarato, Esq. of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri. Respondent Tony M. Stevens ("Stevens") did not appear. Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of -he Arbitration Between ) BERNARD D'AMOUR, ) Claimant, ) ) Case #86-00515 vs. ) Award JOE A. CLEMENTS, RUSSELL L. BENTON, ) EUGENE K. LAFF, ROBERT A. SPIRA, and ) DONALD A. REEL, ) Respondents. ) CASE SUMMARY This claim was filed with the NASD on May 7, 1986. The hearing was con- ducted in Fort Lauderdale, Florida with a total of four hearing days (seven sessions).

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between TODO GERBER vs. HEIFER BROUGHTON, INC. vs. THOMSON MCKINNON SECURITIES, INC. AND JAMES GERBER Claimant Respondents Case 186-00309 Award On April 21, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on March 4, 1986, and by Respondent, Heifer Broughton, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between 31 n ^ Plaimart Charles F. Tipton Case No. 00-03728 fslqme nf PpgpnnHi»ntg Cambridge Financial Capital, LLC; Frank H. DiCarlo; Thomas Michael Rossi; and, Jon K. Lee Site: Indianapolis, Indiana Claimant Charles F. Tipton ('Tipton") was represented by Thomas A. Hargett, Esq. and Mark Maddox, Esq. of the firm of Maddox Koeller Hargett & Caruso, located in Indianapo