NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick S. Mauersberg and Catherine M. Mauersberg Claimants vs. E.F. Hutton & Co., Inc., Dean Witter Reynolds, Inc., and Franklin L. Grey Respondents x x x x x x CASE NO. X 90-01124 x x AWARD x X X X CASE SUMMARY Claimants, Frederick S. Mauersberg and Catherine M. Mauersberg ("Claimants"), allege

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of the Arbitration Between ) Roger Troyan ) Claimant ) ) Case #90-01119 vs. ) Award Fidelity Brokerage Services, Inc. ) Respondent ) CASE SUMMARY Claimant, Roger Troyan ("Claimant") alleged that Respondent , Fidelity Brokerage Service

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond W. Pawley vs. Claimant The Stuart-James Co,, Inc. Edgel Groves Respondents Heard before: James G. Killough Ellwood F. Oakley, III Chris S. Guerin CASE# 90-01118 AWARD Public Arbitrator Public Arbitrator Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on A

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet Goodwin Claimant(s} vs. 90-01113 William Schreyer, Joseph A. Stoll and Anthony S. Tedtaotao Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Janet Goodwin alleged that Respondent(s) William Schreyer,, Joseph A. Stoll and Anthony S. Tedtaotao failed to invest Claimant's funds in the securities specified by Claimant, assu

N.A.S.D. AWARD NHTICNftL ASSOCIKTICN OF SECURITIES DEftlERS In the Matter of the Arbitration Between David & Carol Swartz 90-01109 Oppenheimar & Co., Inc. and Lee Aznster David Swartz and Carol Swartz ware represented by Matthew R. Garey, Esq. of Matthews, Carlton & Stein r Dallas, Taxas. Oppenheimer & Co*, Ire. and Lse boater were represented by Joel H9ld r Esq. of Mantoff, Hill, Held & Goldberg, Dallas, Tfexas. In a Statement o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC IN THE MATTER OF THE ARBITRATION BETWEEN Stephen Rinaldi and Theresa Rinaldi r Claimants Case: 90-01106 vs . F.S.G. Financial Services Group Inc. AWARD John Labeck David Flanzer Robert Stelz Respondents CASE SUMMARY Claimants allege that the respondents failed to enter and execute trades as instructed. Further, they allege that margin and option agreements were forged, and that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-04770 Charles Schwab & Co., Inc., Claimant vs. John L. Wyatt, Respondent. ATTORNEYS: Claimant, Charles Schwab & Co., Inc., ("Claimant"), appeared through its in-house-counsel, Edmund V. Saucedo, Esq., San Francisco, CA. Respondent, John L. Wyatt, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: October 27, 2000 CASE SUMMARY: Claimant alleged that Respondent fa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Claimant;s) Wast C. Jacobs 90-01102 Name of ppsnnnckant f s) Gene Mackevich Barbara Mackevich In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 17, 1990, Claimant West C. Jacobs alleged that Respondents Gene Mackevich and Barbara Mackevich placed $470,000 of his monies in an u

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James J. Gaita Name of Resp-mftent-_rs] Wall Street Clearing Co. Wakefield Financial Corp. Michael Carber Alexander Minella Parsons Eng 90-01100 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Heard before the Arbitration Panel:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant*si Annette C. Glink 90-01098 Name of Respondent^! Carlton Phillips Cenpac Securities Corporation In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 17 , 1990, Claimant Annette C. Glink ("Glink") alleged that Respondents Carlton Phillips ("Phillips") and Cenpac Securities Co