NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } Glenn Armentor and Charles Brandt ) Claimants and ) A W A R D Thomson McKinnon Securities, Inc. ) Respondents ) 88-02277 CASE SUftWRY Claimants Glenn Armentor and Charles Brandt (hereinafter referred to as "Claimants") alleged that Respondent Thomson McKinnon Securities, Inc. (hereinafter referred to as "Respondent") placed Claimants in unsuitab

N.A.S.D. AHARD NATIONAL ASSOCIATICN OF SECURITIES DEAI£FS In the Matter of tha Arbitration Between Nm» of r^Mivmf^^^^ Casey E. Luna and Beverly Luna Dr. Jose Garcia and Mabel Garcia Michael Ruectdieus 88-02926 (consolidated with.K=azaa3 and 88-02iM0) MBtrshall Davia, Inc. Brad Kanoda This matter was initiated by threa sapezate Statonsnts of Claim filed with tha National AaMXiatlon of Sacurltias Daalen, He. ("NASD") on Sapcanfair 19

N.A.S.O. AHARD NATIONAL ASSOCIATICN OF SEmOTIES DEAI£RS In the lfett:er of the Arbitration Between Name of maimantfs) Joseph F. Sanson Robert Asson 88-01710 Name of R^snorxient f B ^ Marrill Lynch, Pierce, Fenner & Smitih Donald Haley Heard before: Name Public / Industry William Singleton Public Henry T. Silvestri Public Harold V. Ballard INdustry This matter was initiated by a Statenent of Claim filed witii the National As

Arbitration N.A.S.D. AtffiRD National Aaaoelallon ol Saeurltlet Daaiara, Ine. NASD Financial Center 33 Whitehall Street New York, New York 1D004 m the ibttBT oi the Adbltxatian B^EtiBm Iferrlll Lynch Visxxse Fenner 6 Snith, Inc. VB Case # 88-^0202 Windsor l.B.C, Inc. Sen ja Kohn SS^^^ ^ °^,J^nuaxY 22, 1980. Claimant, Kferrill i^ynch Piero Ftenner & anLtii» Inc., allegee that Iteapcndeit, Sonja Kohn, %BB fannEsrlv ^J'lS^ con

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert D. Hayes and RDH, Inc. Claimants vs. Shearson/American Express, Inc. and Richard K. Steele Respondents Case #88-00288 AHARD CASE SUMMARY This proceeding was commenced initially on January 28, 1988 by Claimants Robert D. Hayes ("Hayes") and RDH, Inc. ("RON") against SheaVson/American Express, Inc. ("Shearson") ond Richard K. Steele ("Steele"

'a-. -;. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard V. Alesi Claimant and Prudential Bache Securities Respondent 1 AWARD 88-00297 CASE SUMMARY In a claim filed on or about January 11, 1988, the Claimant made allegations of fraud, misrepresentation, negligence and breach of fiduciary duty in connection with the recommendation of an investment in the Quinico Income Program Li

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between HEZAM ALI REYME and Claiinant(s) Case No. 88-01716 COMERICA BROKERS, INC., NATIONAL FINANCIAL SERVICES, CORP. AND JOSEPH J. KELLY Respondent(s) CASE SUMMARY In a claim filed with the NASO on or about May 26, 1988, Claimant Hezam Ali Reyme ("Reyme") alleged that Comerica Brokerage, Inc. ("Comerica"), Joseph J. Kelly ("Kelly") and National Financial

N.A.S.D. AHARD NXnCNAL ASSOCimCN OF SECURITIES DEAUie In the Matter of tha Aibitration Between HoRBT Mol£U8 and Juanita Molpus JIWBOS 88-01686 MBrrill Lynch, Fierce Fenner & Smith Inc Michael K. Stevens Hollia D. Anderson The Claimants ware represented by David A. Bowers, Esq. of Thanas, Price, Alston, Jones & Davis, of Jackson, Mississippi. 'a» RespoiKbants wece represented by Shepard D. Tate, Esq. of Martin, Tate, Morrow & Marston, P.C.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Julie M. Wright Claimant vs. Bagley Securities, Inc. Edward Dallin Bagley Edward Bryan Bagley Carolyn Creamer Bagley CASE #90-03171 AWARD Respondents : rASK SUMMARY Julie M. Wright, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1990, alleged that Respondent Bagley Securities, Inc. and par

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Benjamin C. Parker vs. Case No. 97-04813 Name of Respondents Interstate Johnson Lane and Brad Sparling REPRESENTATION For Claimant Benjamin C. Parker ("Claimant") appeared William P. Janvier, Esq. from the law firm of Merritt, Woolen & Janvier, P.A. located in Raleigh, North Carolina. For Respondents Interstate Johnson Lane ("Interstate") and Brad Spar