, OC MKnCMAL MSOCUffilCir Cr 8I9UUIUTXJSB mUBB m tb» lttitt«r of tba AzbitratioQ BctMMn 89-02307 Stearaon LafaDBn Button, mo. Ricbaxd GTMM Beard bttfaarat Kama PUblio/iaduatzy Oornellus HcAuliff«, Baq* Public Arbitrator Hary y'^n^iiaip Fbblio Arbitrator John Doyla Industry Arbitrator This Bttttar ma by a SUtonnt of daia filed with tha Natlossal Asaoclatlon of Saourltlaa Dealara, ino. ('•macf') cn August 16, 1989. Clainanta allagod t

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Karen A. Prior on her cwn behalf and as custodian on behalf of her children, Courtney and Jeremy 89-02290 Name of Respondents Queen City Securities Inc. H. Garrett Frey CASE SUMMARY Claimant, Karen A. Prior on her own behalf and as custodian on behalf of lier children, Courtney and Jeremy (hereinafter "Claiirants") alleg

/ - NATIONAL -SSOCIAilON OF :ECURITIE5 :EAL£=S, .'IC ;n the Matter of the -r:?^:-^tion Between John i Dolores Nicnoias ,~!aifnancs •s. iWARD '•lerri 11 Lyncn, ^--erce, -enner ^esDondents ASE '-0 i Smith, Inc. ana Rooert '^avne ames Bowersox SUMMARY QF ISSUES This case was filed on August 14, 1989. Claimants alleged that Merrill Lynch, Pierce, Fenner i Smith, Inc. {"Merrill Lynch") and Robert Pavne ("Payne"), its employee, fraudulently

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) v. Wachovia Securities, Inc. and Dennis Schmidt (Respondents) and Dennis Schmidt (Claimant) v. Citigroup Global Markets, Inc. i7k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 02-04476 (consolidated w/02-07239) Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between LORRIE WILEY, MARY ANN CHAVEZ, & JOHN MYERS Claiinant(s) and BLINDER ROBINSON & CO., INC. Case No. Respondent(s) CASE SUr^ARY Lorrie Wiley, Mary Ann Chavez, and John Myers (collectively refern herein as "Claimants") alleged that Mark Arnould, who at the time of the complained of herein was a registered representative of Blinder Robinson & Inc. ("Respo

.|iC% LM *^ LB L I NATIONAL ASSOCIATION OF SECURITIES DEALERS, j^^C • HOY • 0 N.A.S.D. AWARD In the Matter of the Arbitration Between Name of.Claimant BVMi Capital Corporation and 89-02243 CONSOLIDATED WITH 89-02234 Names of Respondents Suburban Stock/Option Investment Club; Robert J. Brown: Lester Graves; William E. Harris; Jack Hornbeck; Raymond L. Jenner; David M. Kaufman; J. Keith Kavanaugh; John Moyle; Calvin W. M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. : In the Matter of the Arbitration Between : Ronald Krausankas Claimant : CASE# 89-02242 va . : Prudential Bache Securities, Inc. : Greentree Securities Corp. : Brooks Weinger Robbins & Leeds, Inc. : Carol Martino Respondents Heard before? Deborah Sherman, Esq. Public Arbitrator " Public Arbitrator Industry Arbitrator CASE SIIMMARY In a claim filed with the National Association o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stuart-James Conpany, Incorporated 89-02233 >ndentf3^ Michael D. Baitaer and Casey J. King In a claim filed with the NASD on or about August 7, 1989, Stuart-james CoTpany Incorporated ("Claimant") alleged that Michael D., Barber ("Barber") and Casey J. King ("King") (collectively as "Respondents") have agreed to indemnify Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #89-02223 AWARD In the Matter of the Arbitration Between Dr. Aram A. Arabian, Jr. Claimant vs . James Morgan Bowen Respondent 1 CASE SUMMARY Claimant Dr. Aram A. Arabian, Jr. alleged that Respondent James Morgan Bowen made false and misleading misrepresentations and omissions concerning the suitability of investing in FNMA Interest Only Leverage Program ("FNMA Fund") . Specifically,

N.A.S.D. AWARD NATIONALASSOCIATICN OF SECURITIES DEALERS ArbiUation NationalAnociatlon of SacuntiM DMi«ra, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Bet^^en Ijame. of claimant Eleanor Carlson vs. NgiRg of Respondents Prudential-Bache Securities Inc. Awai' 1 Case " • 89-0:;; I' CASE SUMMARY This claim was lilecion August 7, 1989. Claiirant, Eienii- i ('aL