; Z nil NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between | Steven Russell Bradbury Claimant(s) vs . Paul David Gray Respondent(s) NOTICE OF ARBITRATION AWARD 89-01282 CASE SUMMARY Claimant Steven Russell Bradbury alleged that Respondent Paul David Gray made unauthorized trades. Respondent maintains that none of the trades made were unauthorized. RELIEF REQUESTED Claimant Steven Russell

NASD. ANKRD NKTlCtOdi ASSOdATZCK QP ,'^H_i;piTH«5..' DBAZiERS la t±e Matter of the Atbltxatilca Betwaaa Ifame of ClaHTnTitS Jerxy & Dcona Ramisack 39-01208 Name of Rasparadents Macmoutti lovBstamts, Inc., and Peter D. DePalzoa vEOBSBsnxnas daisants, Jerry and DQcma Ranusack ("daimants") weze represeatied b/ Tom fippel, Eeq. of Appel and i^pel of Zanslng, Illinois. Bftflrnrvimt, Peter D. DePalsa ("DePaJma") appeared b/ telephone at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantrs) Aristea Riccio 89-01207 Na^ of Respondentfs^ Gibraltar Securities Co. Stuart Albert Lawrence DiDato CASE SUMMARY Claimant alleged that Respondents perpetrated a fraud on her by inducing her to pat her money into securities, wrongfully churning her account, misrepresenting ccmtiissions, and taking discretion with her ac

Arbitration National Association of SecurttlM DsaleiB, Inc. 425 CaJMomia St., Rm. 1400 San Francisco, CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Bear, Stearns & Co., Inc. Name of Respondentfs^ Steven Lundstrom 89-01382 SUMMARY OF TSSURS This case was filed with the National Association of Securities De

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ot the Arbitration Between /; Elaine K. Thomas/ Anthony William Siadak/ Milton R. Tam Claimant vs Shearson Lehman Hutton^ Daniel Halligan Bruce Kramer Inc. AWARD CONSOLIDATED CASES NASD #89-00169 89-011.71 89-0i:.77 SUIVIMARY OF ISSUES Claimants each alleged that Respondents made fraudulent misrepresentations to them, breached their fiduciary dut

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Keh-Nan Li Claimant Case #89-01119 AWARD Alan L. Tallman ResDondent CASE SU^WARY Claimant asserts Respondent made misrepresentations concerning the return on investment of certain stocks purchased; further he contends the broker guaranteed the investments were risk free. RELIEF REOUESTED Claimant seeks the return of $14,000.00 plus $5,000.00 for m

Volume,^,, Xaiiih^i-^^^^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Richard McKinley Respondent AWARD CASE NO. 89-01094 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. on Apri1 11, 1989. Claimant alleged that for value received Respondent executed and delivered to Claimant a Promissory Note which became imm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kay Skowronek, Kerrie Piaskowski and Evelyn Keller Individually and for the Estate of Robert L Keller, (Claimants) v. Steven F. Ambrosio and A.G. Edwards & Sons, hie. (Respondents) Case Number: 02-04468 Hearing Site: Buffalo, NY Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Kay Skowronek, Kerrie Piaskowski and Evely

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02900 Willis J. Hargrave III and Sara R. Margrave, Claimants vs. E*Trade Securities, Inc. and Kathy Levinson, Respondents. ATTORNEYS: Claimants, Willis J. Hargrave, III and Sara R. Hargrave, ("Claimants"), appeared Pro Se, Houston, TX. For Respondents, Kathy Levinson and E*Trade Securities, Inc., ("Respondents"), appeared in-house counsel, Brandi Carey, West Sacramento, CA. DAT

N.A.S.D. NATIOIAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the 7\rbitration Betv^iGn Helen W. Kcemig and Raymond C. Kcemig Claimants and 89-01087 and 89-01093 Boettcher S Ccmpany Respondent and Cross Claiirant and Paul Jackson Cross Claim Respondent and Cross Claimant CASE SUMMARY 1:1 claiire filed with the N^^D on or about April 11, 1989, Claiirants Helen W. Kcemig and Raymond C. Kcernig ^(collectively as "Cialrrants