Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tony J. Markay, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 99-02911 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Tony J. Markay ("Markay"), hereinafter referred to as "Claimant", appeared pro se. Respondent, Charles Schwab & Co., Inc. ("Schwab"), hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles Schwab & Co

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Samuel G. Young ) Ruth F. Young ) Claimants ) ) AWARD vs. ) ) NASD #89-03104 Shearson Lehman Hutton, Inc. ) Alex Dow ) Respondents ) \ SUMMARY OF ISSUES Claimants alleged Respondents misrepresented the nature of f.heir investment in a. mutual fund, Colonial Government Securities, and failed to disclose that this investment was not

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Melinda B. Mars Claimant ) AWARD vs. ) CASE #89-03097 Sutro & Company, Inc. ) and Charles Gray Respondents ) SUMMARY OF ISSUES This case was filed with the National Association Securities Dealers, Inc., ("NASD") on November 6, 1989. Claimant alleged unauthorized trading, failure to execute a customer's order and breach of fiduciary duty in connection with

Arbitration M.A.D.D. National Auodation of Securities Oealert, inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS ' Suit* 1680 Three First National Plaza Chicago, IL 60602 - - - 1312) 899-4440 In the Matter of the Arbitration Between Kama of Claimant I SJ Bert Dolmen-Ramirez & Futurex Trading Ltd. 89-03094 Charles Schwab & Corpany, Inc. CASE SOMWT Bert Dohmen-Rarairez, as Trustee of the BCR Revocable Trust and Futurex Tradin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the. Matter of the Arbitration Between Harry Berry, Jr. Claimant(s) vs. 89-03093 Tucker Anthony, Inc. Respondent (s.) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Harry Berry, Jr. alleged that Respondent(s) Tucker Anthony, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondent denies Claimant's allegations. RELIEF REQUESTED «•

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dee R. Geddes individually and custodian for Brent and Alan Geddes Claimant(s) vs. 89-03091 First Security Discount Brokerage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dee R. Geddes individually and custodian for Brent and Alan Geddes alleged that Respondent(s) First Security Discount Brokerage improperly liquidate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dyrel w. Collins 89-03087 AMI Securities Inc. Barton Davis willard E. May In a claim filed with the National Association of Securities Dealers ,„ Inc. ("NASD") on or about Novaifcer l, 1989, Dyrel W. Collins ("Claimant") alleged that AMI Securities Inc., Barton Davis, Willard E. May, The Trust Company of America, and American Casualty and Suret

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald and Elaine Van Kuiken Claimant!s) vs. 89-03082 Power Securities, Ltd., Mark Edward Loat3 and Jeffrey Brown Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Gerald and Elaine Van Kuiken alleged that Respondent {s) Power Securities, Ltd., Mark Edward Loats and Jeffrey Brown made misrepresentations and recommended un

A6OSO H.A.Q.D. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitral .ion Between National Association of Stturitit* Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Isiderio Sanchez vs 89-03077 wall street Clearing Co. Financial Clearing & Services Corp. Sam J. Piccione Lizanne Geitner Newbridge Securities, Inc. Heard before the members of the Arbitra

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Arthur J. Gaio Claimant(s) vs. 89-03076 Easter Kramer Group Securities, Inc. and Angelo DaBiero Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Arthur J. Gaio alleged that Respondent(s) Easter Kramer Group Securities, Inc. and Angelo DaBiero made misrepresentations. Respondent(s) did not respond. RELIEF REQUESTED Cla