NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02252 AWARD In the Matter,of the Arbitration Between Robert E. Hill Claimant vs. A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY Robert E. Hill, in a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1990, alleged that Respondent's agent, Alan w. Josephson, misrepresented the risk involved in purchas ing zero coupon bonds. He further states t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02249 AWARD In the Matter of the Arbitration Between Susan DeLott Claimant vs . Prudential-Bache Securities, Inc. Daniel A, Nass John S. Keller Respondents CASE SUMMARY Susan DeLott, in a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1990, alleged that Respondent Daniel Nass misrepresented the conditions of First Executive Corp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick W. Stiefel Claimant vs. CASE #90-03247 AWARD Financial Clearing & Services Corp. Ray Minicucci Respondent CASE SUMMARY Frederick W. Stiefel, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on August 15, 1990, alleged that Respondent Ray Minicucci failed to cancel a purchase of 2,500 shares of Amer

Ajward NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Business Data Professionals Defined Benefit Pension Plan by Klaus Von Schiber, Trustee, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 00-04842 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Business Data Professionals Defined Benefit Pension Plan by Klaus Von Schiber, Trustee, hereinafter referred to as "Claimant": Brian J. Neville

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Don C. Foster, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 00-04839 Hearing Site: Boston, Massachusetts Claimant, Don C. Foster, hereinafter referred to as "Claimant", appeared pro se. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Respondent": David D. Leshner, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, CA. Statement of Claim

Award NASD Dispute Resolution, Inc. In (he Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. Names of ^Respondents Nancy Harris Persons Mary Long Denton Wachovia Securities, Inc. Name of Respondent Bane of America tnvestrnent Services, Inc. Case No. 00-0483S In the Matter of the Arbitration Between Names of Claimants Nancy Harris Persons, Mary Long Demon,,: r ,^ Consolida

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. _____ __ NASD Financial Center NATIONAL ASSOCIKTICN OF SECURITIES DEALERS 33 Whitehall Street _ New York, N.Y. 1 0004 In the tfetter of the Arbitration Between FAX (212)858-4389 Of Robert & Geraldine Petrucelli 91-02976 Name of Respondents J.B* TTanaijor & CO. George Sirigotis Paul Gordon For Claimants Robert & Geraldine Petrucelli ("Petrucelli")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the Claimant Case Number 00-04830 Diana B. Hubbard, Administrator of the Estate of Edward W. Hubbard, Jr. Name of the "Respondents Hearing Site: Richmond, VA Scott & Stringfellow, Inc. Laurence C Pettit, ffl OF PAPTTES Claimant Diana B. Hubbard, Administrator of the Estate of Edward W. Hubbard, Jr. referred to as "Claimant": Mark J. Krudys, Esq., Richmond, VA.

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Katherine J. Smith 91-02972 Name of Respondents Joseph Valiceati John T. Moran Claimnt Katharine J. Smith ( "Claimant H > was represented by Dan Druz f £sq. of the law firm of Carron and Koffler. Respondent John T. Moran ("Moran") appeared pro se. Respondent Joseph Valicenti ("Valicenti") declared personal bankruptcy before the heari

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Arcadio Casillas 91-02967 Name of Respondent s) Cowen & Company Whale Securities, Co. REPRESENTATION For Claimant Arcadio Casillas: Michael G. Shannon, Esq. of the law firm of Cairo, Spanbock, Kastor & Cuiffo. For Respondent Whale Securities Co.: David Richan, Esq. of the law firm of Tenzer, Greenblatt, Fallen & Kapl