NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Rolf Olson ) Rolf Olson Defined Contribution ) Pension & Profit Sharing Plan ) Claimant } ) AWARD vs. ) ) NASD NO. 89-02408 Dain Bosworth, Inc. ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on August 28, 1989. Claimant alleged lack of suitability, failure to exer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ( s \ Ed Betenson 89-02407 ^ Robert Amato Heard before: Naroe A. Robert Thorup Public Chair This case was filed with the National Association of Securities Dealers, Inc. ("NRSD") on August 28, 1989. Claimant alleged that Claimant purchased shares of stock in Systems Data Services based upon statements by Amato that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Melvin C. Harris Claimant(s) vs. 89-02406 Mitchell Schneider and Allied Capital Group Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Melvin C. Harris alleged that Respondent(s) Mitchell Schneider and Allied Capital Group made an unauthorized transaction in Claimant's account. Respondent(s) denied all allegations and sta

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis Janos Claimant(s) vs. 89-02405 Ralph Bieber, Eugene Poland and Rich Adams Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Louis Janos alleged that Respondent(s) Ralph Bieber, Eugene Poland and Rich Adams made unauthorized transactions. Respondent Rich Adams maintains that he would personally have no obligations for

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02804 Charles Schwab & Co. Inc., claimant vs. Marjorie Silverstein, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co. Inc., ("Claimant"), Yuri Mikulka, Esq. of the firm Keesal, Young & Logan, Long Beach, CA. Respondent, Marjorie Silverstein did not respond to Claimant's Statement of Claim. DATE FILED: June 21, 1999 CASE SUMMARY: Claimant alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Eleanor O'Brien Claimant(s) vs. 89-02404 Morunouth Investments, Inc., Securities Settlement Corp. and Roy Ageloff Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph and Eleanor O'Brien alleged that Respondent(s) Morunouth Investments, Inc., Securities Settlement Corp- and Roy Ageloff failed to execute a st

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 89-02397 Jack P. Shanks Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Jack P. Shanks refused to pay Claimant funds which were wired in error to Respondent's bank. Respondent did not defend. RELIEF REQUESTED Claimant(s) Dean

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN George F. Tiritilli Claimant vs. Case #89-02396 AWARD Randall George Corporation Securities Settlement Corporation James E. Grogan Respondents CASE SUMMARY Claimant alleges Respondents made unsuitable and unauthorized trades in his account. Respondent Randall George Corporation ("RGC") denies the allegations and contends that Claimant is an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Frederick J. Keitel, III ) ) 89-02393 PaineWebbar, Inc. ) James Sincoke ) John Thurston ) Russ Brown ) Heard before the matters of the Arbitration Panel i Casey W. Mills, Esq. Elizabeth L. Clark Anthony S. Paetro, Esq. CASE SIMARY This claim was filed with the NASD, Inc. on August 25, 1989. Tne hearing was conducted in Fort La

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rick Hampton 89-02389 Name Qf RpgppjpdQnt Is) E.F. Hutton & Company, Inc. Ronald Sanchez CASE SUMMARY In a Statement of Claijn filed with the NASD on August 24, 1989, Claimant Rick Hampton alleged that from October 1983 through March, 1985, Respondents effected transactions in his options account without Claimant's authorization or knowledg