NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tne Arbitration Between CHARLES SCHWAB * CO. INC. Claimant(s) and KRISHNA CHANR.A Respondent(s) ) Case No. 88-02086 CASE SUWARY Charles SCJ^-ID & Co., Inc. ("Claimant") alleged that Krishna Chandra {"Respondent") owed Claimant for the debit balance which existed in the Claimant's account. Respondent rienied the claim and further counterclaimed that the Claimant failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Charles Schwab & Co., Inc. vs. Stacy Allyn Germic vs. Charles Dangerfield, Rob Difuria, Steve Roche, Michael Burton and Marsha Brown Between ) Claimant } ) Respondent , ) Counter- ) Claimant & ) 3rd Party ) Claimant ) ) 3rd Party ) Respondents ) AWARD CASE NO. 88-02346 SUMMARY OF ISSUES This case was filed on Apri

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN M. AND NANCY A. KINSEY, Claimants and STEPHEN N. JOHNSON; MICHAEL FEARNOW; ART PORCARI; PRUDENTIAL-BACHE SECURITIES, ) INC.; AND ISS TECHNOLOGIES ) Respondents ) ) ) ) ) CASE NO. 88-02341 ) ) CASE SUMMARY In their claim filed with the NASD on or about July 21, 1988, Claimants John M. Kinsey and Nancy A. Kinsey (collect

NASD Regulation, Inc. In the Matter of the Arbitration Between Names^3f Claimants Donald and Marlene Glaab Case No, 99-03327 Barnes gf Respondents Noble Investment Co. of Palm Beach Jeffrey Schuler REPRESENTATION OF PARTIEg For Donald and Marlene Glaab ("Glaab"), hereinafter collectively referred to as "Claimants": Albert A. Rapoport, Esq., Boca Raton, Florida, For Jeffrey Schuler ("Schuler") and Noble Investment Co. of Palm Beach ("Noble"),

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — » — — ••^•.^••••.««»^*»» — — — —» — •» — — — — •**• — — — — ••—•»• — — — »••••»«• — ^•••••••« In the Matter of the Arbitration Between SYLVIA ROSENTHAL and SANDRA COHEN, JTWROS, Claimants, vs. } Case /88-02276 J. T. MORAN & CO.. STAN LEVIN and FINANCIAL CLEARING & SERVICES CORP., Respondents, Heard before the members of the Arbitration Panels John B. Kelley, Esq. George W. Rodorm

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tne Arbitration Matter Between KEN PAUL Claimant ) v. ) Case No. 88-02437 RAF FINANCIAL CORP.INC., f/k/a RAFCO FINANCIAL CORP., f/k/a J. PITTOCK & CO., INC. AND MICHAEL D. HAYES Respondents On April 19 and 20 and June 7 and 9, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 27, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Among Robert B. and Mary J. Fleming Claimants Case #88-02421 vs. Award Merrill Lynch Pierce Fenner & Smith, Inc. and Len Pumer Respondents CASE SUMMARY Claimants, Robert B. and Mary J. Fleming ("Flemings"), alleged Respondents, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") and Len Pumer ("Pumer") made unsuitable investments in their account and en

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ANNE THOMAS ) Claimant ) and ) ) CASE NO. 188-02391 SHEARSON LEHMAN MUTTON. INC. AND ) NICK DIMINICO ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASD on July 28, 1988, Claimant Anne Thomas ("Thomas") alleged that Respondents Shearson Lehman Hutton, Inc. (" Shearson 11 ) and Nick DiMinico ("DiMinico") mismanaged h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard Rosen vs. Claimant AWARD =88-02376 Richard Blackman & Co., Inc. Respondent Case Summary Claimant Leonard Rosen ("Rosen 4 ') claims against Respondent Richard Blackman & Co., Inc. ("Blackman") arise from the execution of two November 1987 Standard and Poors Index option trades. Rosen alleged that a registered representative of Blackman

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Donald Bluemel And 04-01826 Chicago, Illinois Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. Maureen M. Raihle Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Donald Bluemel ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois and Andrew Stoltmann, Esq.,