NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. N THE MATTER OF THE ARBITRATION BETWEEN Barnes J. McGarey CIaimant vs. ;vans & Co., Inc., Alexander '•'Tchael, Inc. :nd Ayse Yurdakul Responaents Case -88-02&41 AWARD CASE SUWiARY Claimant James J. McGarey ("McGarey') alleged that when his brokerage ^'irm and its principal, Respondents Alexander Michaels, Inc. ("AMI") and Ms. Ayse Yurdak'jl , notified him that his account had 15,000 more

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret and Garry B. Gettinger vs. Kevin W. Schmidt and Edward D. Jones & Co. Claimant(s) Respondent(s) AWARD 88-02803 The Arbitrator, Neill Edward Hannon, 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 August 27,

r NATIOMAL ASSOCIATION OP SECURITIES DEALERS, INC. In t h e MAtitar of the Arbitration Batwstto GUS AND HARIA STAVROPOULES, JAKES AKD MARY PULTE, WOLVERINE CARBIDE DIE COKPAMY AND ITS EMPLOYEES PROFIT SHARIMO TRUST ClaisADt(I) and XAVTRENCE P. BIRNBAUU AND BEAR STEARNS k CO. , INC. Respondent < c) CONSOLIDATED CASE NOS. aa-ooe2o, S8-00862, k 88-02796 CASB suwuuty James and Mary Pulte, Gua and Maria St avropou I es,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Calvin Kallett Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith and Morgan Guaranty Trust Co. Respondent(s) AWARD 88-02771 The Arbitrator, Ne and determine a matter Claimant and Respondent signed by the parties Pierce, Fenner & Smith respectively and not Guaranty Trust Co. has jurisdiction; ill Edward Hannon, Esq., selected

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter o.' the Arbitration Between Christine Donovan Claimant vs. Gilbert, Doniger S Co., Inc. xlames Bandler Respondents CASE 688-02745 AWARD CASE SUMMARY Claimant alleges Respondents msde unsuitable investments in and churned her ar(oitnt. Respondent James Bandler denies the allegations and contends that Claimant was fully apprised of and understood the risks of her trading as e

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Delsardo Claimant(s) vs. Dean Witter Reynolds, Inc. and Mark Smith Respondent(s) NOTICE OF ARBITRATION AWARD 88-02744 CASE SUMMARY Claimant Robert Delsardo alleged that Respondents Dean Witter Reynolds, Inc. and Mark Smith misinformed him about the Claimant's ownership rights to a dividend payment. Respondents maintain that the Claimant w

NATIC:".".. ASSOCIATION OF SECURITIES DEALERS, INC. VANDERBILT SECURITIES, INC. AND BONNIE K7\NTR0WITZ CLAIMANTS AWARD V. . #88-02783 :Consolidated with PETER RYAN AND XICHAEL WOLOSHIN : Case #88-02723 RESPONDENTS CASE SUMMARY The Statement Claim was filed on August 30, 1988. Claimant, Vancerbilt Securities, Inc, and Bonnie Kantrowitz alleged that Respondents, Peter Ryan and Michael Woloshin made several purchases of stock, while they

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert B. Schoene and Marsha B. Schoene Claimant(s) Award vs. Drexel, Burnham, Lambert, Jerry Delich and Jane Doe Delich CASE NO. 88-02717 Inc. Rc3pcndent(c) SUWiARY OF ISSUES This case was filed on 8/26/88. Claimants Robert B. Schoene and Marsha B. Schoene allege that Respondents Drexel, Burnham, Lambert, Inc., and Jerry Delich caused

NASD Dispute Resolution Arbitration No. 02-04431 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wendy Moldovan-Allen, (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Melanie S. Smith, (Respondents) Case Number: 02-04431 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wendy Moldovan-Allen., hereinafter referred to as "Claimant": Charles M. O'Rourke, Esq., Woodbury,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the iHatter ot" the Arbitration Between Adrian J. Van Dyk Claimant(a) vs. Ross Mandell Respondent(s) NOTICE OF ARBITRATION ANARD 88-02705 CASE SUMMARY Claimant(s) Adrian J. Van Dyk alleged that Respondent(s) Ross Mandell misrepresented facts and made unauthorized trades on Claimant's account. R8spondent(s) did not defend. RELIEF REQUESTED Claimant(s) Adrian J. Van Dyk requested dama