NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Clemente Claimant(s) vs. 89-02667 H.T. Fletcher Securities, Inc. and Ricardo Grimes Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph Clemente alleged that Respondent(s) H.T. Fletcher Securities, Inc. and Ricardo Grimes failed to execute a trade. Respondent(s) maintain that they have no record of a sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joyce Hall Claimant vs. Swartwood, Hesse, Inc. Martin Rokeach Respondents CASE# 89-02658 AWARD CASE SUMMARY Claimant alleges that Respondents placed her in unsuitable investments and churned her account. Respondents deny the allegations and contend that Claimant was fully apprised of ^all^ her investments, and received confirmations of all p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Timothy R. Burdue, W.L. Burdue Claimants ) and Rose M. Burdue, JTWROS ) vs. ) AWARD Merrill Lynch, Pierce, Fenner & Respondents ) CASE NO. 89-02656 Smith, Inc. and Stephen J. Duffy ) Heard Before the Members of the Arbitration Panel: Bert Levy SUMMARY OF ISSUES This case was filed on September 25, 1989. Claimants alleged that they deposited monies int

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Camie Daniel, Alan Corleone and Right Trucking Lines Ltd., 89-02655 Name of Respondent ( s ) Bear Stearns & Company Sandy Kunkle and Sheldon Goodman In a claim filed with the National Association of Securities Dealers, Inc. (NASD") on or about September 19, 1989, Claimant Camie Daniel, Alan Corleone and Right Trucking Lines, Ltd. ("C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Paula Rose Claimant(s) vs. 89-02651 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel and Paula Rose alleged that Respondent(s) PaineWebber, Inc. made an unauthorized liquidation of a front end mutual fund. Respondent maintains that this claim is nothing more than an attempt to force PaineWe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John A. MzMullen 89-02650 Fldelity Brokerage Services, inc. Claimant option holder alleged that Respondent discount broker failed to disclose the precise terms regarding a tender offer by KKR for RJR Nabisco shareholders. Respondent maintained that Claimant was an experienced options investor who knew the terms and risks of trading options

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charles Kairaitis Claimant CASE #89-02646 AWARD vs. Prudential-8ache Securities, Inc. Respondent CASE SUMMARY This claim was initially commenced on September 22, 1989. Claimant, Charles Kairaitis alleged that Respondent, Prudential-Bache Securities, Inc. did not take the time to ascertain neither his personal or his financial background when he

Award NASD Reaulation. Inc. In the Matter of the Arbitration Between: Margene W. Lyon. Claimant vs. Morgan Keegan & Company, Inc., and David E. McDonald, Respondents. Case Number: 99-02834 Hearing Site: Nashville, Tennessee All Claims disposed of after a Telephonic Hearing. REPRESENTATION OF PARTIES Claimant, Margene W. Lyon, hereinafter referred to as "Claimant", was represented by Michael A. S. Guth, Esq., of Oak Ridge, Tennessee. Respondents,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: NEIL T. MOSKOWITZ, M.D. CLAIMANT V. INDIVIDUAL'S SECURITIES, LTD. GEORGE K. DODMANIS DOKCNICK INVESTOR SERVICES ROBERT LEDONB MICHAEL PERDIE RESPONDENTS THIRD-PARTY RESPONDENTS AWARD /89-02643 CASE SUMMARY The Statement of claim was filed with the NASD, Inc. on September 21, 1989. Claimant, Dr. Neil T. Moskowitz alleged that

N.A.S.D. AWARD NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Laurel Misrs 89-02640 Name f Ruth Securities Joan R. Thonasson In a claim filed with the National Association of Securities^Dealers, Inc. ("NRSD") on or about September 21, 1989, Laurel Miers ("Claimant*} alleged that Joan R. Thonasson ("Thonasson") of Ruth Securities ("Ruth") (collectively aa "Respondents") failed to discl