Arbitrati °" NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1680 In the Matter of the Arbitration Between Three First National Piaza Chicago, IL 60602 Mare of Claimants 81 (312) 899-«440 Chiaramonte Family Trust 89-02693 Name of Respondent fSJ Prudential-Bache Securities Inc. Wayne Mclntosh in a Statement of Claim filed with the NASD on or about September 27, 1989, Claimant Joseph Chiarmonte ("Chiarmonte") alleged that Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Donald Speakman Claimant v. AWARD #89-02689 Prudential Bache Securities, Inc. & Thomas Salierno Respondents CASE SUMMARY The Statement of Claim was filed with the NASU, Inc. on September 28, 1989. •* * Claimant, Donald Speakman alleged that Respondents Prudential Bache Securities, Inc. and Thomas Salierno committed fraud and breach of fiduciary duty in connection with C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Rudy Gonsalves Claimant ) AWARD vs. ) CASE #89-02680 Dennis w. Roneck and ) E.F. Hutton, Co., Inc. Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 25, 1989. Claimant alleged that in August 1987 he purchased 25,000 shares of Worlds of Wonder ("WOW") based on Respondents' re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Arthur & Helen Pabor ) Claimants & ) Counter-Respondents ) AWARD vs. ) ) NASD # 89-02679 Shearson Lehman Mutton, Inc. ) Charles D. Tom ) Respondents & ) Counter-Claimants ) SUMMARY OF ISSUES Claimants alleged fraud, breach of contract, churning negligence and breach of fiduciary duty under Federal Securities acts and the Washingt

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame Q Kenneth Nitkowski 89-02678 Lori Bye Royce ifcrk Investments, Inc. Claimant alleged that Respondents engaged in fraudulent reconnendations of penny stocks so that Claimant's entire worth was placed at risk. Claimant further alleged that the Respondents failed to monitor the activity in the client's account and failed to advise him of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerry W. and Linda M. Kielsmeier JTWROS Claimant(s) vs. 89-02677 Edward D. Jones & Co., Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Jerry W. and Linda M. Kielsmeier JTWROS alleged that Respondents) Edward D. Jones & Co., Inc. recommended unsuitable investments and did not provide a current Prospectus with regard

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen Wilson, (Claimant) vs. Klein, Maus and Shire, Inc., SG Cowen Securities Corporation, and Maurice Gross, (Respondents) Case Number: 99-02839 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Helen Wilson, hereinafter referred to as "Claimant": Edward Weissman, Esq., Law Office of Edward Weissman, New York, NY. Respondent, SG Cowen Securities Corpora

J-IO- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. .uii Lhe Matter of the Arbitration Between David Ogle Cecil Ogle Richard Oglo Claimants vs. Legg Mason Wood Walker, Inc. Joel Wohl Respondents CASE #89-02671 AWARD CASE SUMMARY In a claim filed wit.i the National Association of Securities Dealers, Inc. on September ::5, 1989 Claimants David Ogle, Cecil Ogle and Richard Ogle alleged they informed the Respondents that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles M. & Katherine L. Paulk Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02669 Blinder Robinson & Co., Inc. and David Slaght Respondent(s) CASE SUMMARY Claimant(s) Charles M. & Katherine L. Paulk alleged that Respondent(s) Blinder Robinson & Co., Inc. and David Slaght made misrepresentations. Respondent(s) maintain that the alleged statement

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Charles Schwab & Co., Inc. Claimant vs. Harry Flitter and Ruth Flitter Respondents CASE SUMMARY Case #89-02668 AWARD Claimant seeks a debit balance created in Respondent's account during October 1987 when Respondents failed to satisfy margin requirements. Respondents deny the allegations, and interpose defenses asserting that Claimant refused to