^olunie_^ Number N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS f ' In the Matter of the Arbitration Between Michael Rago, Clainant and 89-01540 Rocknan & Renshaw, Inc., Respondent CASE snenupr In a claim filed with the NASD on or about May 26, 1989, Michael Rago ( "Claimant") eQleged that Pocfcnan & Renshaw, Inc. ("Respondent") breached a written emplcyment agreanent which included provisions regarding payment of cono

NATIONAL ASSOCIATION OF SECTOITIES DEALERS In the Matter of the Arbitration Between Jack White & Co. Claimant(s) vs. William P. Schmidt Respondent(s) NOTICE OF ARBITRATION AWARD 89-01494 CASE SUMMARY Claimant(s) Jack White & Co. alleged that Respondent(s) William P. Schmidt received an overpayment on an incorrect sell. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s) Jack White & Co. requested damages of Four Thousa

N.A.S.D. AWARD NATICKAL ASSOCIATICN OF SBCURITIES DEAI£RS In the M^ar of the Arbitration Between ! PaineWebber, Inc. Jeffrey H. Rosa 89-01454 Heard before the manbers of the Arbitration Panel: EdMard S. Boslow III CASE SUMMARY This claim was filed with the KASD, Inc, on 17, 1989. The hearj_ng was conducted in Fort Lauderdale, Florida on Ajgjst 30, 1990, with a total of one session. Claimant, PaineWebber, Irx:. ("PW"), alleged Respondent, J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc, vs. Claimant Gary Clark Respondent AWARD CASE #89-01441 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers (NASD) on May 15, 1989. Claimant alleged monies due and owing pursuant to the original and amended Salesman Compensation Schedule executed between the parties which provided that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between WILLIAM H. FLICK, Claimant. vs. Case /89-01M6 Award MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.. Respondent. Heard before the member of the Arbitration Panel: William Burke, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on May 12. 1989. The hearing was conducted in Fort Lauderdale, Florida on May 9, 1990 with a total of 1 session.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Jack H. Naley Claimant vs . E. F. Hutton Shearson Lehman Hutton, Inc. James Richards James Clifton Respondents AWARD NASD NO. 89-01336 SUMMARY OF ISSUES This claim was filed on May 4, 1989. Claimant alleged libel and unfair competition in conjunction with his resignation from respondent E.F. Hutton; allegation included false and misleading

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey E. Franzen and Franzen Family Living Trust, Claimants v. Wells Fargo Investments, LLC and Mark Burger, Respondents Case Number: 02-04473 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeffrey E. Franzen Oakland, California For Respondents: Robert T. Sullwold, Esq. S

N.A.S.D. mSPD NATICNAL ASSOCIATION OF SBCURITIES l*att£BS In the Matter of the AdOltratlon Between Hie Bariy Flnancied Group, Inc., at al. 89^1314 Albert H- K&cher Haard befco^ tha menbers of the Arbitxation Panel t PatricX« A. Shub, fieq. Douglaa Dalancy Jr. lealie Bishop Tliia claim was fllod with the NASD, inc, on May 3, 1989 . 11» hanrli WIS conckKitjed In R>rt Loudeoxleae, Florida on April 27, May Hf ttoy 24, May 25f and August 20, 19

Year NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. yo\umt^Z_^ Numb^Z_ In the Matter of the Arbitration Between f/illiam G. Finlayson Helen H. Finlayson Claimants : CASE #89-01297 vs. ^, AWARD Shearson Lehman Mutton, Inc. Thomas K. Metz Respondents 2, CASE SU^f^ARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1989, Claimants William G. and Helen H. Finlayson alleged the Respondents Sh

VoJume. 2. ^ Number _4 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry and Pio Claimant Fii-st 0* Michigan Corporation Respondents AWARD 89-01294 CASE SU^fWRY In a claim filed on or about May 2, 1989 the Claimant alleged that the Respondent, through its registered representative, instructed him that a transfer of his comnon stock Dosition could not be made into his IRA accou