NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Kurt F. Piper Claimant vs . R.B. Marich, Inc. Respondent Case #90-02344 AWARD CASE SUMMARY Kurt F. Piper, in a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1990, alleged that his broker, Philip Brown, while employed with Respondent, R.B. Marich, Inc. , sold him stock which was not "blue skyed" in the sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Robert and Margaret Vertz Claimants vs. John S. Gill and Roy M. Henry Respondents AWARD Case 190-02343 CASE SUMMARY Pro Se Claimants, Robert and Margaret Vertz, in a claim filed with the National Association of Securities Dealers, Inc. on August 24, 1990, alleged that Respondent John S. Gill, representing First Financial Planners/ with the appro

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dmytro Motruk Claimant vs. Financial Clearing and Services Corp. Joseph Hopkins, III Respondents CASE #90-02340 AWARD CASE SUMMARY Pro Se Claimant, Dmytro Motruk, in a claim filed with th« National Association of Securities Dealers, Inc. on August 23, 1990, alleged that Respondent Financial Clearing and Services " holding him liable for the

A//XSO N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jonathan and Joseph Penni vs. Name of ResponHmrt-s Merrill Lynch Pierce Fanner & Smith Inc Noel M. Webster Harvey Cook Arbitration National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-02338 For Claimant: Miles E, tfoi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Name of •r.laiflfln.t'.f si Kenneth J. Omandy 90-02337 Name of Respondentfs\ Anthony E. Ferruzzi Edward C. Maher Heard before: Name Public/Industry Allen Kilik Public Arbitrator This claim was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 23, 1990, Claimant Kenne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between Raoul and Yvonne Fritz Claimants vs. AWARD Case #90-02336 REPRESENTATION For Claimants RoauJL H. and Yvonne Fritz appeared pro se. For Respondent: The representative for Empire National Securities , Inc. was Donna Kiernan. INFORMATION Statement of Claim filed: October 24, 1990 Claimant's Submission Agreement signed on; August 17, 1990 Statem

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stephens Inc. and 00-04848 Dallas, Texas Name of Respondent Keith Martel Russell REPRESENTATION OF PARTIES Stephens, Inc. ("Claimant") was represented by Jana Kim Keller, Esq., inside counsel of Stephens, Inc., Little Rock, AR. Keith Martel Russell ("Respondent") was represented by Michael Johns, Esq., Dover & Dixon, Little Rock, AR, CAS

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCORTITES DEALERS ) In the Matter of the Arbitration Between ) ) of Kathie Kovall Mama of Respcndfint (s) Advsst, Inc. Bruce Goldstein Dennis Befuno Miles Levites Case No. 90-02331 For Claimant, Kathie Kovall ("Kovall"): Russell L. Forkey, Esq. of the Law Offices of Russell Forfcey. For Respondent, Advest, Inc. ("Advest"), Miles Levites ("Levites") and Bruce Goldstein ("Goldstein")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gary Kovach vs. Roney & Co. Claimant CASE# 90-02329 Heard before: Donald A. Antrim, Esq. Industry Arbitrator James A. Francis, Esq. Industry Arbitrator Robert A. Greenberg Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1990 Claimant Gary Kovach alleged the Respondent

H.A.S.D. _ ASSOdKITCN CP In the Matter or the Arbitration Between of Jobn and Lynn. Csland 90-02328 Of Vtedbush Morgan Securities, IDC. Karen Qiing-Garter Robert Taster For claimants John arvi Lynn naiamHt Gene R. Tlruntcn, 3aq. of Hopper, KhnmTff f .^Mtb, Fecyan & Terry, Denver, Colorado. Ptar KflfipcDdaats Wadbush M 1 .. c^n Securities, Inc., Karen ding-carter, and Robert Ttaaker: Terry Ross, Esq. of Koeoal, Young &