NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sybil C. Mathews ) Claimant ) ) AWARD vs. ) } NASD #90-01886 Dean Witter Reynolds, Inc. ) John Weaver ) Respondents ) SUMMARY OF ISSUES Claimant alleged an unauthorized redemption by Respondents of her Government Plus mutual fund shares and a subsequent unauthorized purchase of High Yield mutual fund shares with the proceeds. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ?,obert L. Frizzeil, M.D., Trustee, Frizzeii Family Trust Claimant AWARD NASD ^90-01884 ?.B. Jameson & Co., Inc. Michael Langheinrich and Russell Haden Respondents REPRESENTATION Claimant, Robert L. ?ri_zzel 1, M D ; Trustee, v:as represented by Robert L. rrizzell. Respondents ?.B. Jameson & Co., Inc. and Russell Haden were represent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Michael Mitcham Claimant vs. Atlanta Securities & Investments Inc., Fred H. Jones Jr. Richard L. Jackson Charles L. Bradley Timothy Garrett McNally Rollo Frederick Ingram I William Jackson Blalock Respondents Award Case #90-01882 Heard before: Sidney R. Barrett Hartwell D. Hooper Lisa 0. Brinkley Public Arbitrator Pub

N.A.S.D. AWARD NATICNRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Max A. & Josephine A. Gewait 90-01869 and FS Group Advisory Inc. a/k/a Consulting, Joseph A. Ballarino r and Financial Network Investment Corporation Claimants Max A. and Josephine A. Gewait were represented by Stephanie W, Kanwit, Esq. of Latnet, Kanwit & Davis, Chicago, Illinois. Respondents FS- Gcoup Advisory Inc. a/k/a Consulting, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 00-04804 Merrill Anne Carlson Name of the Respondents Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc., David Nathaniel Vaughan, Milton Hughes Bates, Jr., and Steven Ray Hill RFPRF.SKNTATTON OF PARTIES Claimant Merrill Anne Carlson, hereinafter referred to as "Claimant", was represented by Michael E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Mid-Exchange, Inc. ) Claimant ) ) AWARD vs . / ) NASD #90-01867 Prudential-Bache Securities, Inc. ) Respondent ) Claimant was represented by Michael A. Firestein, Esq., of McCambridge, Deixler, Marmara & CMdberg, Los Angeles, California. Respondent was represented by Michael M. Gless , Esq., of Keesal Young & Logan, Long Beach, Calif

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Betvreen Mama of Eugene Cutcmings Dean Witter Reynolds, Inc. Case No. 90-01865 For Claimant, Eugene Cunnings ("Cunmings"): A. Grant Bohl of D.B. Management. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter"): Abe Lamport, Esq. of Dean Witter. Statement of Claim filed: on July 24, 1990 and amended on June 26, 1991. Claimant's Submission Agreemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Howard Lee x Claimant x x CASE NO. vs. x 90-01859 x Wellshire Securities, Inc., Walter Sarowie, x AWARD and Otra Clearing, Inc. x Respondents x x CASE SUMMARY Claimant, Howard Lee ( "Lee" ) , alleged that he instructed Respondent Walter Sarowie ("Sarowie"), an employee of Respondent Wellshire Securities, Inc. ("Wellshire"), to sell h

PUBLIC Arbitration NASD AWARD National Association of Securities Dealers, Inc. MATICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitena^reer^ . New /orK. NY 10004 In the Matter of the Arbitration Between r AX < 2i 2} 858-4389 Name of Claimants John and Gonna Colman 90-01854 Name of Respondents Westimnt Securities, Inc. Robert Sabel For Claimants John and Ronna Colman ("Claimants") : Anthony V. Trogan, -of Weisman Trogan et al

JflN-21-1994 08:59 FROM TO NKTXCHHL . ASgoCIKnOI OF SECUFtTI IBS In the Natter of the Arbitration Between of Claimant-./fiS Robert L, tfark K. Virginia Mark Prudsntial-Bache Securiti Jftrty Haraci In n claim filed with the ("NASD") on or about June 29 (herein after "Claimts") Marty Hatari (herein after the ClaunonU by sm xnaaudinq McnritijBS cteL are ctnl.rar dairaants amvct that a ta»ac of P*ir Practice; 2) and 3) th