NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Drake Kennedy and Brian Kennedy ) Co-Trustees of the Regency ) Outdoor Advertising Inc. ) Profit Sharing Plan ) Claimants ) ) AWARD vs. ) ) NASD #90-00978 Charles Schwab & Co. Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers , Inc . ( "NASD" ) on April 3 , 1990 . Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wedbush Morgan Securities, Inc. Claimant(s) vs. Gary H. Manchester, trustee f/b/o Gary H. Manchester Profit Sharing Plan Respondent(s) NOTICE OF ARBITRATION AWARD 90-00977 CASE SUMMARY Claimant(s) Wedbush Morgan Securities, Inc. alleged that Respondent(s) Gary H. Manchester, trustee f/b/o Gary H. Manchester Profit Sharing Plan has not

® N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mams of Arbitration National Association of S«curitles Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Rorida 33301 (305) 522-7391 Sidney & Audrey Goldstein CASE #90-00976 Name of Respondent f s Robert Sandusky Heard before the Arbitrator: Howard E. Kurzweil, Esq. CASE This claim was filed w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julie C. Cochario Claimant vs. Jonathan Alan & Co., Inc. » Respondent' CASE SUMMARY Claimant, Julie C. Cochario ("Claimant"), alleged that the Respondent, Jonathan Alan & Co., Inc * ("Respondent"), acting through its employees, traded options in the Claimant's account without her prior knowledge or consent* Claimant also alleged that she paid fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leon Feldan Claimant vs. Schweitzer & Co., and L.C. Wegard & Co. Respondents OATH AND AWARD OF ARBITRATOR 90-00967 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant American Financial Security Company, Inc. and 90-00966 Name of Respondents Securities Settlement Corporation Robert M. Fehrman, Silvestro F. Veneziano, Jerome S. Stein, and Westport Financial Group, Inc. REPRESENTATION OF PARTIES Claimant, American Financial Security Company, Inc. was represented by Timothy N. Vujni

Stipulated Award NASD Dispute Resolution In thematter of the Arbitration Between: Names of the Claimants Case Number: 00-04714 Billie H. and Barbara J. McCutchen Billie H. McCutchen Rollover IRA Barbara J. McCutchen IRA Billie H. McCutchen 401K Names of the Respondents Hearing Site: Boca Raton, Florida K.W. Brown Investments Kenneth William Brown REPRESENTATION OF PARTIES For Billie H, and Barbara J. McCutchen ("McCutchens") and Billie H

Ari " tratlon National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hilda G. Ricco 90-00958 Name of Prudential-Bache Securities Inc. Claimant, Hilda G. Ricco ("Ricco"), alleged that Respondent, Prudential-Bache Securities, Inc. ("Pru-Bache"), failed to properly su

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gabi Shabtai Claimant(s) vs. 90-00953 P.B. Jameson Co., and Charles Jackson Carlton Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gabi Shabtai alleged that Respondent(s) P.B. Jameson Co., and Charles Jackson Carlton failed to send him stock certificates and as a result his ability to sell his stock was adversely affect

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of mali Clifford & Joyce Goodletson 90-00948 Name of Merrill Lynch, Pierce Fanner & Smith Inc Scott Arnott In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 2, 1990, Claimants Clifford and Joyce Goodletson ("Claimants") alleged that they were induced to transfer their account fron the