NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Batsman Eichler, Hill Richards, Inc. Claimant vs. Gene M. Alford Respondent Case #90-02472 AWARD fASE SUMMARY Bateraan Eichler, Hill Richards, Inc.'-by its counsel Brian K. Lowe, in a claim filed with the National Association of Securities Dealers, Inc. on September 6, 1990, alleged non-payment of an unsecured debit balance in the account of fut

-'92 L3-C.1 r ISH KJUB.D. MOOD HRIXCKAL ASfiQCUffiXCH Of tiB'JUkl'i'JLflS 3i tba' ifctter of taa Aaaaitaaticn ar, HtU Kicha«Js, Bio. Ho.90-02469 For Claixmti Tbcna* M. Mu», 80q* - Tann'iBg, Moos & £*vl Jtery Statooat ot Clftiff filttis Ouptrt3< r 6, 1990 Oainnf 0 dttal00iaa AgzwMBt »i9n«i CAS Juguit 22, 1390 Statnait of An0uar filed by AaopcadBt cni August 1, 1991 «ign*l cms JUly 29,1991 i Itech 19, 1992 - T* Seaalxaaa Location LM

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betoreen Gary Peter Klahr Shearson Lehman Hutton, Inc. Larry Shatzkamer Merk Friedman 90-02467 Gary Peter Klahr was represented by James S. Ereedman, Esq., Phoenix, Arizona. Shearson Lehman Hutton, Inc., Larry Shatzkaner and Mark Friedman were represented by Keith Beauchamp, Esq. , of Lewis & Roca, Phoenix, Arizona. In a Statanent of Claim filed w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred W. Falk Claimant vs. CASE #90-02462 AWARD Neuberger & Berman Management, Inc. Respondent CASE SUMMARY Fred W. Falk, in a claim filed with the National Association of Securities Dealers, Inc. on September 15, 1990, alleged that Respondent refused to execute a transfer from equity funds to a money fund on the day requested causing a loss of p

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna S. Dales, Claimant v. Salomon Smith Barney, Inc., Respondent Case Number: 00-04858 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Edna S. Dales, hereinafter referred to as "Claimant": John P. Freeman, Esq., Columbia*- South Carolina. For Salomon Smith Barney, Inc., hereinafter referred to as "Respondent": Christopher B. O'Malley, First Vice Pres

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Natalie Emery 90-02454 Name of Respondents Legg Mason Wood Walker, Inc. Champlin J. Carney William Jones, Jr. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 REPRESENTATION For Claimant: For Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louise Avallone Claimant vs. Gordon Scott Venters Respondent Case #50-02453 AWARD CASE SUMMARY Louise Avallone, in a claim filed with the National Association of Securities Dealers, Inc'. on September 5, 1990, alleged that Respondent and broker, Gordon Scott Venters, made unsuitable recommendations of high risk investments. She states that s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jerry Kwait Claimant vs. roe Blasi Respondent CASE #90-02450 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 5, 1990, Claimant Jerry Kwait, who appeared Pro Se, alleged that Respondent Joe Blasi failed to follow Claimants instructions to sell 5,000 shares of C.M. Communications, Inc.

N,A*S*D. JWRRD ASSOdATION OP SECURITIES In the Matter of the AEbitration Between Clara D. Alters 90-02448 Nans nf ttogm riant Eppler, Quarin & Turner, Inc. Wayne Bar Claimant *""**[ra D. Altars* Susan R. Schrag, Esq. and Roger Theis, Esq. of the Law Offices of Harris, laing, Evans, Bcock & Kennedy, Wichita, Kansas. Par mHi.-m.lnnt Egpler, Gaedn & Tarner, inc.: William D. Sin*, Jr., Esq. and Stephen E. ftoc. Bag. of Jenkins & GLLchriflt, Dall

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between Name of riaimant-. H. Loeb Corporation vs Name of Oppenheimer & Co . , Inc , Robert W. Reidy For Claimant: Richard M. Geib r Esq. of Geib & Gelb. For Respondents: Eugene L. Snail, Esq., in-house counsel, National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N