NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STEPHEN FICANO, ) Claimant, ) Case No. 39-03175 vs . ) ) Award ALLIED CAPITAL GROUP, INC., ) ROBERT SCONZO. ) Respondents, ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Mr. Harry Polansky Mr. Terrence Vf. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on November 14, 1989. The hearing w

Arbitration N.A.S.D. AWARD „ „ , A Nation*) Association of Securities Dealers. Inc. - Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, IL 60602 (312) 899-4440 In the Matter of the Arbitration Between e of Jack Deutsch 89-03174 B.C. Christopher Securities Co. Timothy O'Leary CBSE SGMAR7 In a Statement of Claim filed with the NASD on November 14, 1989, Claimant Jack Deutsch a

Arbitration N.A.S.D. AWARD National Associationo« Securitlea Dealer*, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York New York 10004 In the Matter of the Arbitration Between Mama o Judith Kalina 89-03172 Name of Respondent! Mark Fialkov Claimant, Judith Kalina, alleged that Respondent, Mark Fialkov, reconnended unsuitable investments and made misrepresentations regarding the nature a

N.A.S.D. AHARD NMTCNRL ASSOCIATION OP SECURITIES DEAUSRS In the Matter of the Arbitration Between of r^ Lee Phillips 89-03171 Prudential -Racha Securities, Inc. and J. Frederic Storaska Claimant visa represented by Paul C. Nay, Esq. of Doranus & Trauger, Nashville, ~ Respondents were represented by Noah Sorkin, Esq. of Prudential Securitiee, Mew York, Him York. The Statement of Hnlm was filed with the NASD by Claimant, Randall Philli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger W. & Judith A. Leidy 89-03170 Name of Resppndent{s| Charles Schwab & Company, Inc. CASE SUMMARY Roger w. and Judith A. Leidy ("Claimants") alleged that Charles Schwab and Company, Inc. ("Respondent") failed to disburse funds to the Claimants as mandated by the Baldwin-United Corporation's Plan of Reorganization. Respondent denied the clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helen Cannon 89-03169 Name nf Responderrhs Ronald Hansen Clarence A. Smith First Securities Corporation First Financial Corporation of America In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 14, 1989, Helen Cannon ("Claimant") alleged that through misrepresentations she was induced to

NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Natale Galletta and Frank Galletta Claimant(s) vs. 89-03168 Prudentia1-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Natale Galletta and Frank Galletta alleged that Respondent(s) Prudential-Bache Securities, Inc. negligently transferred 100 shares of a certain security out of Claimants' accou

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between X Name of Claimant Roger W. Kroschel Case No. 99-02918 Name of Respondents H.J. Meyers & Company, Inc., SG Cowen Securities Corp., Brett Briggs, Gary Liddicoat, and Joseph L. Heaton. REPRESENTATION OF PARTIES Claimant, Roger W. Kroschel, hereinafter referred to as (" Kroschel") was represented by John A. Schmidt, Esq. of The Law Offices of John A. Sc

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, Claimant v. Searaus Caulfield, Respondent Case Number: 00-01046 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant PaineWebber, Inc.: Romaine L. Gardner, Esq. Law Offices of Romaine L. Gardner Staten Island, New York For Respondent Seamus Caulfield: Seamus Caulfield In Pro Per Carlsbad, California CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of nainviy|f (p) J. Richard Welton 89-03166 J.W. Gant and Associates, Inc. French-American Securities Inc. Skip Boruchin J. Richard Welton ("Welton") alleged that Skip Boruchin, a registered representative of J.W. Gant & Associates, Inc. (Boruchin and J.W. Gant are collectively referred to herein as "Respondents") failed to properly execut