Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rolf A. Gille and lone Gille Living Trust, Rolf Gille R-IRA and lone Gille R-IRA, Claimants v. First Security Van Kasper & Co., Anders A. de lounge and Arendt C. de lounge, Respondents. Case Number: 01-00663 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: Joseph C. Barton, Esq. 2833 Laguna Street San Francisco, CA 94123 For Respondents: Gordon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of riaiTnantVa] ) ) ) Stephen A. & Pamela A. Avera Name of Smith Barney Harris Ujphan & Co., Inc. Heard before the Arbitrator: Patricia A. Snub, Esq. ) Case Nb. 90-01362 Public Claimants, Stephen and Pamela Avera ("Avera's"), were represented by Michael Kelley, Esq. of the Law Offices of Michael F. Kelley, Esq. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary Ellen Rogulski Claimant(s) vs. 90-01361 Gruntal & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mary Ellen Rogulski alleged that Respondent(s) Gruntal & Co. has failed to change the name of the custodian on mutual funds and limited partnership investments after repeated requests. Respondent denied the allegations

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald Bitman Claimant(s) vs. 90-01353 Bear, Stearns & Co., Inc. and Stuart, Coleman & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gerald Bitman alleged that Respondent(s) Bear, Stearns & Co., Inc. and Stuart, Coleman & Co., Inc. charged excessive commissions. Respondent Stuart, Coleman & Co., Inc. answered tha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Gene and Shirley Morris, Claimants, v. No. 90-01351 Michael Wynn, and Blunt Ellis & Loewi, Inc., Respondents. REPRESENTATION OF PARTIES Claimants, Gene and Shirley Morris ("Claimants") were represented by E. Terry Sibbernsen, Esq., Omaha, Nebraska. Respondents Michael Wynn and Blunt Ellis & Loewi, Inc.("Respondents") were represented by Thomas P. Ward, Esq., of McBride, Baker & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ttie Matter of the Arbitration Between Maine of Claimants RoseAnn. Laura and Lisa Sperandio 90-01347 Name of Respondents First Affiliated Securities Jonathan Alan & Co.. Inc. Elizabeth Schoultz Beklior Securities Mitchel Feinglas REPRESENTATION For Claimants: RoseAnn Sperandio. For Respondent, Elizabeth Schoultz: Elizabeth Schoultz For Respondents. Jonathan Alan £ C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry & Bonnie R. Yanick, JTWROS Claimants vs. Warren Schreiber Raymond J. Carr Respondents CASE #90-01340 AWARD CASE SUMMARY Larry and Bonnie R. Yanick, in a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1990, alleged that five hundred Remittance Technology Units were purchased for their account without th

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott Schaefer, (Claimant) vs. BNP Paribas Securities Corp., (Respondent) Case Number: 01-00661 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Scott Schaefer, hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Wechsler Bursky & Cohen, LLP, New York, NY. Respondent, BNP Paribas Securities Corp., hereinafter referred to as "Respondent": Andrew

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Syed W. & Naseem Akhtar 90-01337 Ijgne of Respondent Charles Schwab & Ccsnporiy, Inc. In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about May 10, 1990, Syed W. Akhtar and Nfisean Akhtar ("Claimants") alleged that they received a confirmation of sale of shares of Microsoft Corporation indicatin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Eetv^en ) ) Name of r.laimantfsl ) ) Dorothea Soskice ) ) ) Case No. 90-01334 ) Name of Respondent (s \ ) ) Smith Barney Harris Upham & Co., Inc. ) Roger Gaeckler ) For Claimant, Dorothea Soskice ("Soskice"): Mark Raymond, Esq. of Tew & Garcia -Pedrosa. For Respondents, Smith Barney, Harris, Upham & Co., Inc. ("Smith Barney"), a