HJL3.D. 3NKKD ASSOCIWICN OF SBCDEITIES DERLEES -^y la the Matter of the Arbitration Between Mane of fia-jngmt , ..__ Dantcn D. Wirth 91-00824 Name of ThMrnon Letaan BrotbersTlnc- CSf 1989CQ5 Claimant nas repiooentod by Jbba O. Phillips, Esq. and A. Peter Gregory, Esc of TT * 11 t Evans, Denver, Colorado. Respondent was represented by John s. Lutz, Esq. and Elizabeth A. Bryant Esq. of Kelly, Stansfield & O'Donnell, Den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ray R. and Myrtle L. Redd Claimants vs . CASE f91-00823 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Brad Winters Respondents CASE SUMMARY Pro Se Claimants Ray R. and Myrtle L. Redd, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondent Brad Winters, while an account ex

W.A.S.D. AHAKD NKTKKMi ASSOCIAIXCN OF SBCORTOES la the Matter of the Arbitration £et»ieea MgPB Of Shearson Brothers, Inc. dint G. 'ilfe(£?[!UM|; 91-00818 Stephen T. Rangen CLainant,. Shavsoa T^KMMTI Brotbfirs^ Inc. was represented by J< , Esq. of Lewis & Roca, Phoenix, Arizona. B. Respondent, dint G. Taiibach MBS repreeented by Jon A. Titus, Esq. and Thonas W. Dmnhne, Esq. of Titus, Bruedmer & Berry, Soottsdale, Arizcua. Ibir

N.A.S.D. £ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Pamela S. Vance nf MLB Investments, Ltd. RAF Financial Corporation ffodesitt, Bushnell, Lucas Group Donna Bushnell Kenneth Lee Lucas Jeffrey Evans Modes itt I', 91-00813 Claimant Pamela S. Vance was represented by Dean A. Aarestad, Esq. and Tamara Walters, Esq. of Aarestad & Dihle, P.C., Denver, CO. Respondent RAF Finan

NASD N.A.S.D. AWARD Arbitration National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS- Securities Dealers, Inc. NASD Financial Center In the Matter of the Arbitration Between ?, 3 w * ite £ a " 3tr * e ' < «„„„ New York, New York 10004 Name of Robert A. Petrillo and Anne Petrillo 91-00811 Name of Respondent ( s \ James Whitten Philip Pinkert Claimants, Robert A. and Anne Petrillo we

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey Robinson Claimant vs . Amerimutual Corporation Respondent SUMMARY CASE 191-00809 AWARD Pro Se Claimant Jeffrey Robinson, in a claim filed with the National Association of Securities Dealers, Inc. on March 13 , 1991 , alleged that an agent of Amerimutual Corporation "cold called" him and provided misleading information concerning Guin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claimant vs . Stuart-James Company, Inc. Kerry Oliver Respondents CASE SUMMARY Pro Se Claimant, Thomas Dawkins Sutton, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondents have failed to mail him his stock certificate for 50,000 shares of Independent Air Holdings, Inc. in spite of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In" the totter of the Arbitration Between Muriel Olsen Claimant and 91-00802 ' Hutchison Financial Corporation, "Martin Lonski and Dave K. Hutchison - '••**• Respondents OF Claimant Muriel Olsen was represented by Kevin D, Hofoian, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondent Hutchison Financial Corporation was represented by John Daubney, Esq. , St. Paul, Minnes

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Cavalieri E. Wanda Cavalieri Claimants vs. The Stuart-James Co., Inc. Respondent CASE #91-00801 AWARD CASE SUMMARY Anthony and E. Wanda Cavalieri, represented by John McNeill, Boca Raton, FL, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondent, in spite of their knowle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00754 Bill Rogers, claimant vs. Christopher Goslin and JW Genesis n/k/a First Union Securities Financial Network Inc., respondents. ATTORNEYS: For Claimant appeared Harold L. Harkins, Jr., Esq., Tampa, FL. For Respondents appeared Gregory S. Tendrich, Esq., in-house counsel for First Union Securities, Inc., Boca Raton, FL. DATE FILED: February 14, 2001 CASE SUMMARY: Claimant all