NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Reif Claimant(s) vs. DFW Clearing, Inc. vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00933 CASE SUMMARY Claimant(s) Michael Reif alleged that Respondent(s) DFW Clearing, Inc. negligently failed to complete a transfer of a security. Respondent DFW Clearing, Inc. maintains that they

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pat Croft and Karen Croft Goldstein JTWROS Claimant(s) vs. Eric J. Walloga Respondent(s) NOTICE OF ARBITRATION AWARD 90-00930 CASE SUMMARY Claimant(s) Pat Croft and Karen Croft Goldstein JTWROS alleged that Respondent(s) Eric J. Walloga mismanaged their money and misrepresented activities occurring in the stock market. Respondent(s) mainta

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Albert and Hope Horwitz vs . Merrill Lynch, Pierce, Fenner & Smith, Inc. and Hugh Anderson ) Claimants ) ) ) ) ) ) ) Respondents ) ) AWARD NASD ft 90-00897 SUMMARY OF ISSUES This case was filed with the National Association ol Securities Dealers, Inc. ("NASD") on March 28, 1990. Claimants alleged that th

NATIONAL ASSOCIATION OF SECURITIES DEALKRS, INC. In Che Matter or ~ne Arbitration Between ) ) Rick Sola ) Claimant ) ) AWARD vs. ) ) NASD # 90-00810 Stephen J. Knapp ) Respondent ) SUMMARY O? ISSUES Claimant alleged Respondent engaged in excessive and unauthorized trading of certain common stocks, was negligent in his handling of the account, failed to execute properly an order to buy shares of Microsoft, and failed to execut

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Thomas R. Adams ) Claimant ) ) AWARD vs. ) ) NASD #90-00792 Frank Berlage and American ) Investment Bankers, Inc. ) Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 16, 1990. Claimant alleged that respondents' breached their fiduciary duty by rec

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan Emadi Claimant vs. Noble Financial Investments, Inc. Hassan Hashamian Respondents AWARD NASD NO. 90-00791 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 14, 1990. Claimant alleged: breach of fiduciary duty, lack of suitability and unauthorized trading in the purchase an

N.A.S.D. AWARD • NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Larsen, Indiv. & Executor,et al 90-00753 Sutro & Co. Incorporated Keith Knabke For Claimant: James R. Duncan, Esq. For nospondnnt: Kurt C. Peterson, Eaq 3SL Statement of Halm filed: March 13, 1990 Claimant, Lawrence H. Larson's Submission Agreement signed on: October 24, 1989 Claimant, Malinda L. ftiiz* Submission Agreement s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The GMS Group, Inc. 93-01732 Nan^e of Respondent Marc F. Strasser CASE SUMMARY *>» In a claim filed with the National Association of Securities Dealers, Inc. on April 30, 1993, Claimant The GMS Group, Inc. by and through their counsel, Kathryn N. Roettger, Esq., Sole Practioner, Florham Park, New Jersey, make this applicati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carolyn Joyce vs. NASD #93-01410 Name of Respondents Colton Financial, Inc., David A. Colton, Warren Corpal REPRESENTATION For Claimant: Terry M. Moshenko, Esq., of Lake Forest, California For Respondents: Bruce D. May, Esq., of Strading, Carlson & Rauth of Newport Beach, California. CASE INFORMATION Statement o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olgert Hellwig, (Claimant) vs. National Securities Corporation, The Boston Group, Frederick D. Deminico, Gene Aucella, Kye Hellmers, Joseph W. Donahue, Jr., Kimi E. Jingu, Stephen R. Pene, Robert A. Dimenico, Michael Alloca, John R. Brady, Philip E. Steele, Kevin E. Scannell, Clifford F. Mastricola, Susan A. Gullery, Bonnie B. Rich, Janeann B. Knapp, Scott L. Mathis, The Boston Gr