N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann Trischetta 95-05579 Name of Respondents Alex Brown & Sons Incorporated Seaboard Securities, Inc. Herbert Gurwitt REPRESENTATION For Claimant Ann Trischetta ("Claimant") appeared George V. Cornell, III of the law firm George V. Cornell, III and Associates located in Staten Island, New York For Respondent Alex Brown &

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tne Matter of the Arbitration Between) John 0. and Mary A. Turner ) Claimants } and A M A R 0 88-03351 Prudential Bache Securities, Inc.; Joseph V. Palmer Respondents . ) CASE SUMMARY In a claim filed with the NASD on October 31, 1988, Claimants John and Mary Turner ("the Turners") alleged that Respondents Prudential Bach« Securities, Inc. ("Prudential Bacne") and Joseph Pal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anne Novotny Claimant vs. Herzog Heine Geduld, Inc. Wall Street Clearing Corporation Timothy Carroll Christopher Miller Respondents CASE #88-03349 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1988 Claimant Anne Novotny alleged Respondents engaged in a pattern of unscrupulous

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Frederick W. Landman, ) individually and ) FBO Gertrude E. Landman ) Family Trust Claimants ) vs. ) AWARD Charles Schwab & Company, ) Inc. Respondent ) CASE NO. 88-03114 SUMMARY OF ISSUES Claimant alleged Respondent, by failing to answer the telephone as promised in their advertisements, prevented Claimant from engaging in a plan to enter or

N.A.S.D. AWARD NKTICNftL ASSOCIflTICN CF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Kathleen A. Foster 88-03197 A.G. Edwards & Sons, Inc. Stuart Thorn Claimant Kathleen A. Foster was represented by Raymond S. Heyman of O'Connor, Cavanagh, Anderson, Waetover, Killingsworth & Beshears, P.A., Phoenix, Arizona. Respondent A. G. Edwards & Sons, Inc. was represented by Rose M. Schindler of A. G. Edwards & S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Gregg and Susan Perelman Case No. 99-03390 Summit Investment Group, Inc. Pershing Division of Donaldson Lufldn & Jenrette Securities Corp. Timothy B.Gabriel Hearing Site- Pittsburgh, PA RFPRFSF NTATTOM nl? PARTTFF Claimants, Gregg and Susan Perelman, ("Claimants"): Samuel F. Reynolds, Jr., Esq. of the Law Offices of Weisman Goldman Bowen & Gross, LLP, Pittsb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05750 Slobodan Jazarevic Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney Joel Lansat Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Slobodan Jazarevic, hereinafter referred to as Claimant: Robert G. Haile, Jr., Esq., Haile, Shaw & Pfaffenberger, P.A., Nor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06600 William M. Baird Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William M. Baird, hereinafter referred to as "Claimant": Elihu H. Berman, Esq., Elihu H. Berman, P.A., Clearwater, Florida. For Morgan Keegan & Company, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Gordon, Trustee, acting on behalf of the Bernard Gordon Trust Name of the Respondent Capital Growth Financial, LLC Case Number: 06-00865 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bernard Gordon, Trustee, acting on behalf of the Bernard Gordon Trust, hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05527 Frank M. Rogers Huong T. Rogers James D. Barker Donna C. Barker Michael W. Hawes Donna E. Hawes Name of the Respondent Hearing Site: Washington, D.C. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank M. Rogers, Huong T.