NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) William J. Salvie ) Claimant \ ) Case #88-03136 vs. ) Award ) ) Prudential-Bache Securities, Inc. ) Respondent ) ) CASE SUMMARY Claimant alleges Respondent credited an incorrect amount of interest due to him- Respondent maintains Claimant's calculations of interest due to him contain errors. RELIEF REQUESTED Claimant request

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julius J. Stone Claiinant (s) vs. Eagle Asset Management, Inc. Respondent(s) AWARD 88-03102 The Arbitrator, Thomas J. Hawekotte, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on July 20, 1988 and November 22, 1988, respec

N.A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs] David G. Perotti 88-03077 Name of RespondentCs^ Philips, Appel & Walden, Inc. Paul Garafalo Robert Petrocine CASE SUMMARY Claimant David G. Perotti ("Claimant") alleged that Respondent Philips, Appel & Walden, Inc. ("Philips, Appel") by the actions of its brokers. Respondents Paul Garofalo ("Garofalo") and Robert Pet.r

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. C/ /VI In the Matter of the Arbitration Between James J. Powers, vs . Claimant. Dean Witter Reynolds, Inc., Respondent. Case No. 88-03070 Award On April 25, 1989, the undersigned arbitrator heard the controversy between the parties as set forth In submissions to arbitration signed by Claimant on September 26, 1988, and by Respondents on November 15, 1988. The arbitration panel, havin

...,«.wu it.o't. rnA NASO @|OQ3/Q07 AMENDED AWARD NASD plspute Resolution In the Matter of the Arbitration Betweejn Name of Claimant Fidelity Brokerage Services, Inc. and Case Number 02-04436 Hearing Site: Houston, Texas Name of Respondent John Vela a/k/a John G. Vela, Jr. NATURE OF DISPUTE Member Firm vs. Customer REPRESENTATION OF PARTIES Fidelity Brokerage Services, Inc. ("Claimant" or "Fidelity") was represented by Laurence K

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02899 I.W. Henson and Learline Henson, Claimants vs. J.P. Gibbons & Co., Inc., Respondents. ATTORNEYS: Claimants appeared Pro Se through I.W. Henson, Palacios, TX. Respondent did not respond to the Statement of Claim. DATE FILED: July 10, 2000 CASE SUMMARY: Claimant alleged that employees of respondent traded his account on margin, without his knowledge or consent, and also charged

Volumc^Li-. Number,.^.. NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC- In the Matter ot the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, JEFFREYS. F, EBY., BRIAN E. PECON, BENJAMIN T. PO., M.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER claimants and PAINEWEBBER, INC. Respondent CASE NO. 88-03407 88-03414 88-03405 88-03392 • 8fi:J)3391 88-0B8S CASE SUMMARY In claiins filed wit

Volumc^Li-. Number,.^.. NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC- In the Matter ot the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, DEFFREY 3. F, EBY., BRIAN E. PECON, BENDAMIN T. PO., M.D., CHARLES A. RICHARDS, PERVIE B. SIMPSON, DR. AND DOHN G. TUCKER claimants and PAINEWEBBER, INC. Respondent CASE NO. 88-03407 88-03414 88-03405 88-03392 • 8fi:J)3391 88-0B8S CASE SUMMARY In claims filed wit

NATIONAL ASSOCATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between DAVID HEFLIN Claimant V. PAINEWEBBER, INC. Respondent CASE SUfMARY AWARD 88-03379 Claimant David Heflin (Heflin) alleged that Respondent Bill Roberts (Roberts) advised Heflin to purchase and subsequently hold an unsuitable stock , spec i f ical ly Graham- McCormick Oil & Gas. This advice was alleged to have been a breach of Robert's fidiciary duty and g

I \ ( NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between K Terry L and D. Elizabeth Peters vs Claimant(s) Blinder Robinson S Co., Inc. and Roger J. Goldburg Respondent(s) NOTICE OF ARB I THAT 10)^ AWARD 88-3376 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission t