Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-03836 Douglas R. and Jennifer M. Pendergast Names of the Respondents Hearing Site: Atlanta, Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. and Art Rollins Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Douglas R. and Jennifer M. Pendergast, hereinafter collectively referred to as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Jacob and Ruby Jacob Claimant(s) vs. Viceroy International Securities Corp., Robert Onesti and Avin Bakal Respondent(s) NOTICE OF ARBITRATION AWARD 87-01606 CASE SUMMARY Claimant(s) Robert Jacob and Ruby Jacob alleged that Respondent(s) Viceroy International Securities Corp., Robert Onesti and Avin Bakal made unauthorized sales of securities

N.A.S.D. AWARD NATIONAL ASSCJCIAI'lON OF SECURITIES DEALERS In the Matter of the Arbitration Betv^en Name of Claimant Martin J. Costello, III and 87-01541 O Name of Respondent \ , \ VCN Ladenberg Thalnann & Company, Inc. and Stuart James Canpany, Inc. Third Party Respondent CASE SUMMARY In a statement of claim filed with the NASD on or about August 6, 1987,, Claiirant, Martin J. Costello, III ("Costello"), alleged that Respondent

Reg:o:i_i Voiuma ^- . •••;i:i;";ber Ve.u ^70 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond W. Hogstrom, Maxine R. Hogstrom, Perry H. Harris, Francie Harris, Judy A. Haeussler, Gary E. Haeussler, Roger N. Litzenberger and Marilyn F. Litzeraerger Claimants and Blinder Robinson & Co., Inc. and Eileen Wainer Gilmore Respondents AWARD 87-01522 CASE SUMMARY In a claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between LYNNE DRAZIN, LYNNE ORAZIN CUST. JORDAN DRAZIN, AND ANNE R. HYMAN Claimants and TRI-BRAOLEY INVESTMENTS AND PAUL HURTAOO Respondents CASE NO. 87-01438 AWARD On March 23, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Lynne Drazin, Lynne Drazin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sally W. Cooper ) Claimant ) Case #87-01355 vs. ) Award ) ) Josephthal & Co., Inc., ) and ) Marvin Michaels, ) ) Respondents ) CASE SUMMARY Claimant alleges that Respondent, Marvin Michaels, breached his fiduciary duty to her by failing to carry out her instructions. Specifically, Claimant alleges that she instructed Marvin Mic

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. C^' r V.. In the Matter of the Arbitration Between CHESTER YU, Claimant, vs. Case /87-01278 Award FIRST JERSEY SECURITIES, INC.. ROBERT E- BRENNAN and SHERMAN MILES, Respondents. Heard before the members of the Arbitration Panel: Marilyn B. Cane, Esq. Alan 11. Fisher, Esq. Peter J. Lavezzoli On May 4 and May 10, 1989, arbitrators heard the controversy between the partie as s

Case #87-01182 Award. NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between RONALD S. LIMOLI. Claimant. vs . JIRST JSRSFr SECURITIES, INC.. ROBERT E. ERENNAN and CHRISTOPHER KEELEY, Respondents. lieard before the members of the Arbitration Panel: Mr. Leonard E. Pacun CASE SUHMARr This claim was filed with the NASD, Inc. on July 2. 1987. The hearing was conducted in Fort Lauderdale. Florida on May

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between William G. Benedict Claimant Balaramas Enterprises, Inc. vs. Prudential-Bache Securities, Inc. Respondents and Charles French Case #87-01156 Award Heard before the Arbitration Panel: Frank A. Konecny, Esq. Owen Guinn Smith Judith M. Rosenberg, Esq. CASE SUMMARY The claim was filed July 23, 1987. Claimants alleged that Respondents fraudulent

1 riAnnriAi A-/,of IAII'TI OF '.rriiRTriF'; OEnii'-:;, ifK.. In thp Mfitter of I TIP Arb 11 r.?t i nil i:< ^'tween lonrv Lamar Mclnto:-h, III nrene S. Mcintosh Cl < i iin'iTi 1.5 I r I Jersey .pr u' i ' i P'- , I n*', CASE #87-01085 AWARD ASi: SUMMARY III is cl'i'iti --r. fil''fi villi I li'^ MASH. I nr. on JMIP 17, ]' . riie h'^'rin^ .-.'.r. ' Diuliirtcd in Al Cinhi, '.'-'.M-j' ' '"i Mat'.li 1'1, 1990 vjii'i a total "I two hc-u'ii