Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Johnnie H. Melton Name of the Respondent Hearing Site: Dallas, Texas Edward D. Jones & Co. NATURE OF THE DISPUTE Public Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant Johnnie H. Melton, hereinafter referred to as "Claimant": Chris Claassen, Esq., of the firm of Burg Simpson Eldredge Hersh Jardine PC, located in Dallas, Texas. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Novack and Manuel Palan, Claimants, Case Number: 05-04144 Hearing Site: St. Louis, Missouri v. Morgan Stanley DW, Inc., Respondents. Nature of the Dispute: Associated Persons v. Member REPRESENTATION OF PARTIES Harvey Novack ("Novack") and Manuel Palan ("Palan"), hereinafter collectively referred to as "Claimants": Anthony S. Bruning, Esq. of Leritz, Plunk

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. /I 51990 In the Matter of tr-e Arbitration Between ) ) HAYDEN MCIi.SC'; ) Claimant(s) ) Case No. 89-02049 and ) PAINEHEBBER, ;v:« ) Respondent (s) ) CASE SOWARY Hayden Mcliroy ("Claimant") alleged that PaineWebber, Inc.: 1. misrepresented and omitted certain material facts regarding Sooner Federal Savings and Loan Association Securities ("Sooner securities"; to the Claimant; 2. bre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Andrew South Mary South John Vida Claire Fortier et al Claimants vs. Charles Schwab & Co., Inc. Respondent ) ) AWARD ) NASD NO. 89-02037 ) SUMMARY QP ISSUES This case was filed with the National Association -of , Securities Dealers, Inc. (NASD) on July 17, 1989. Claimants alleged) Ownership of a "substantial number of Savin Corp.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patricia M. Cypher 89-02035 Name of Rendent Merrill Lynch, Pierce Fenner & Smith Inc Tracy R. Turner OF ISSTTES This case was filed with the :::xtir*nal Association of Securities oaaiers, Inc. ("NASD") on July 17, i»oy. claimant aJ loved Roapcn-tr.tc hr~sched their agreement- '•»«. fh her and Breached their duty of reasonable -are frj actio

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03423 Salvatore M. Tesoro, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: For Claimant Salvatore M. Tesoro, ("Claimant"), appeared Paul W. Thomas, Esq., Paul W. Thomas & Associates, Carlsbad, California. For Respondent Charles Schwab & Company, Inc., ("Respondent"), Albert M. Zecher, Jr., Esq., in-house counsel for Charles Schwab & Company, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. in che Matter of the Arbitration Between Lvnn Featherly Claimant CAS£ *89 -02002 AWARD Donald & Co. Securities, Inc. Jeff Turino Respondents CASE SUMMARY Claimant, Lynn Featherly, alleges tha,t Respondents, Donald & ecurities, Inc. failed to sell securities in her account as instructed. Co., Hcs^crc'crt:: , Dcncld £ Co. Securities. Inc. denies the 2!!ec3tio?s 3r contends tnat the l

N.A.S.D. JMKRD NMTIGNKL ASSOCZJOIGN OP SECURITIES BALERS In the Matter of the Arbitration Ranieri L. Palleschi ) ) ) Case No. 89-01973 Legg Mason Wood Walker, Incorporated ) Retort o. Slingluf f ) Heard before the Arbitrator: Joseph L. Bernstein, Eaq. CASE SUMMARY Ttiis claim was filed with the NASD, inc. on JUly 11, 1989. The hearing wee conducted in Port Lauderdale, Florida on April 5 (pre-hearing conference), November 20, and Dnmr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham Piltch and Helen Piltch Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Paul R. Sweeney, Jr. Respondents AWARD *89-01957 CASE SUMMARY Claimants Abraham and Helen Piltch (hereinafter the "Claimants") alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Paul R. Sweeney, Jr. ("Sweeney") mishan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In -he Matter of the Arbitration Between ) ) Richard and Joanne Welton Claimants ) ) vs . ) AWARD ) Emmett A. Larkin Co., Inc. ) and Mickey Reynolds Respondents ) CASE NO. 89-01942- SUMMARY OF ISSUES This case was filed with the National Association ol Securities Dealers, Inc. ("NASD") on July 6, 1989. In March 198£ Claimants opened an account with Respondents in order to sell 40( shar