NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael Bywaletz Claimant(s) vs. 89-02496 Wall Street Clearing Co. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Michael Bywaletz alleged that Respondent(s) Wall Street: Clearing Co. froze Claimant's account without any warning and because of this any profit that could have been made waa lost. Additionally Claimant feels h

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02813 Carnegie Investor Services, Inc., claimant vs. George F. Crowley, III, respondent. ATTORNEYS: For Claimant Carnegie Investor Services, Inc. ("Claimant"), Louis H. Miron, Esq., Westfield, New Jersey. Respondent George F. Crowley, III ("Respondent") appeared Pro Se., Bethpage, New York. DATE FILED: 06/21/1999 CASE SUMMARY: Claimant alleged that on Sept

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Samuel and Virginia Sarat Claimant(s) vs. 89-02493 Norwest Investment Services f/k/a Norwest Brokerage Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel and Virginia Sarat alleged that Respondent(a) Norwest Investment Services f/k/a Norwest Brokerage Services did not sell when ordered. Respondent(s) maintain th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) William R. Dunlop, M.D. ) Medical Corporation ) Defined Benefit Plan ) and William R. Dunlop ) Keogh Trust dated 3-16-82, ) by William R. Dunlop, Plan ) Trustee/Administrator Claimants ) ) vs. ) AWARD ) Eagan & Company ) James R. Eagan Respondents ) CASE NO. 89-02489 i ) SUMMARY OF ISSUES Claimants alleged Respondents breache

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Golda K. Hall Claimant(s) vs. 89-02487 Merrill Lynch, Pierce, Fenner & Smith, Inc. and Fredric Gestin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Golda K. Hall alleged that Respondent(a) Merrill Lynch, Pierce, Fenner & Smith, Inc. and Fredric Gestin failed to follow Claimant's instructions. Respondent(s) denied all alleg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dominic and Patricia Franchina Claimant(s) vs. 89-02485 Blinder, Robinson & Co., Inc. and John Sholtis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dominic and Patricia Franchina alleged that Respondent(s) Blinder, Robinson & Co., Inc. and John Sholtis did not make a suitability determination as to Claimants' investme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Larry Tremaine Claimant ) ) vs. ) AWARD ) Russell Dalbey, Jim Hamilton ) and James Williams Respondents ) CASE NO. 89-02484 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities, Dealers, Inc. ("NASD") on September 5, 1989. Claimant alleged that Respondent Russell Dalbey recommended Claimant's investment in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between x x Danot Enterprises, Inc., x Claimant, x x CASE NO. vs. x 89-02483 x Hambrecht & Quist, Inc., x AWARD Respondent, x x VS . X X Abraham Dan x Third-Party Respondent, x x CASE SUMMARY Claimant, Danot Enterprises, Inc. ("Danot"), alleged that Respondent Hambrecht & Quist, Inc. ("Hambrecht") effected numerous debt secur

N.A.S.D. AKMRD ASscdAncN OP SECDKTTIES DEALERS In the Matter of the Arbitration Between Name of V. ReO 89-02482 Name of James For Claimant; Sanford £. Kantor, Esq. of Kantor, York City. Respondent James Planing appeared pro se. stein, & Kantor in New Statement of Ha-im filed: September 6, 1589. Claimant's Submission Agreement signed on: August 28, 1989. Statement of Answer filed by Respondent James Fleming on: November 29, 19

_ Arbitration N.A.S.D. AWARD , Association of Securities Dealers. Inc. Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza _ Chicago, IL 60602 In the Matter of the Arbitration Between < 3121 8 "- 4440 Lucille Janas Clatmant 89-02481 and Michael L. Schwartz Respondent In a Statement of Claim filed with the NASD on or about September 6, 1989, Claimant Lucille Janas ("Janas") alleged t