Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sten Molin, (Claiimint) Case Number: 99-02853 vs. E*Trade Securities, Inc., (Respondent) Hearing Site: New York, New York Claimant, Sten Mo)in Maurer, Esq., Ridg REPRESENTATION OF PARTIES in ("Molin"), hereinafter referred to as "Claimant": Elisabeth Seieroe field, CT, Respondent, E*Trade Mark T. Drooks, E Securities, Inc. ("E*Trade"), hereinafter referred to a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) LARRY P. AND LINDA M. PACOS ) Claimant(s) ) Case No. 89-02868 and ) SHEARSON LEHMAN MUTTON, INC. AND ) CARLOS VILLANUEVA ) Respondent(s) } CASE SUMMARY Larry P. and Linda M. Pacos ("Claimants") alleged that Carlos Villanueva^, a registered representative of Shearson Lehman Hutton, Inc. (Shearson and Villanueva are collectively referred to her

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Constance Wendell Claimant(s) vs. 89-02864 Norman Berryessa Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Constance Wendell alleged that Respondent(s) Norman Berryessa failed to account for $300.00 of the total sum to be invested on Claimant's behalf, and sold securities in Claimant's account against Claimant's wishes, cau

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John J. Schifko Claimant vs. Charles Daniel Stephens Respondents OATH AND AWARD OF ARBITRATOR 89-02863 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) GRACE P. HOPPER ) Claimant(s) ) Case No. 89-02862 and I EDWARD D. JONES AND COMPANY ) Respondent(s) CASE SUMMARY In a claim filed with the NASD on or about October 16, 1989, Claimant Grace P. Hopper, ("Hopper") alleged that her investment in High Equities Partner £5, . limited partnership, through Respondent Edward D. Jones and Company, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Merrill Lynch, Pierce, Fenner, & Smith, Inc. x x Claimant x x CASE NO. vs. x 89-02857 x Alan Sheketoff, Ronald Buckman, x AWARD and Laurel Buckman x x Respondents x x CASE SUMMARY •* Claimant, Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Claimant") alleged that Respondents Ronald and Laurel Buckman ("Buckmans"), with th

Arbitration N.A.S.D. AWARD N- ^. ... . . , National Association of _ Securities Dealers, inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, ii_ 60602 (312) 899-4440 In the Matter of the Arbitration Between Charles C. Keeble 89-02856 Fidelity Investments CASE SO9JMK In a claim filed with the National Association of Securities Dealers , Inc. {"NASD") on or about October 16, 1989,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(si Lester L. Conawav 89-02851 Name of Respondentfs^ Smith Barney Harris Upham & Co., Inc. Larry O'Neal Gray CASE SUMMARY Claimant alleged that, after opening an account with the Respondents for long-term appreciation, the Respondents traded extensively in his account and initiated trades without his authorization. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS _ y In the Matter of the Arbitration Between David R. and LeeAnn N. Meinhold vs. Philip S. Brown and The Stuart Janes Co. Claimant(s) Respondent(s) NOTICE OP ARBITRATION AWARD 89-02843 CASE SUMMARY Claimant(s) David R. and LeeAnn N. Meinhold alleged that Respondent(s) Philip S. Brown and The Stuart James Co. committed unauthorized trades with respect to Claimants' account. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 189-02832 AWARD In the Matter of the Arbitration Between Phillip E. Ratciiffe Claimant vs. The Stuart-James Co., Inc. David Weintraub Christopher Joseph Noble Rick Freuh Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 13, 1989, Claimant Phillip E. Ratciiffe alleged the Respondents, The Stuart-James Co., Inc., D