NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank M. and Frances Charles Claimant(s) NOTICE OF ARBITRATION vs. AWARD 89-02282 A. Marino and Joe Marino and Andy Delano Respondent(s) CASE SUMMARY Claimant(s) Frank M. and Frances Charles alleged that Respondent(s) A. Marino and Joe Marino and Andy Delano made misrepresentations. Respondent(s) Annette & Joseph Marino maintain that they have no

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. : In the Matter of the Arbitration Between Martha w. High Claimant vs. Shearson Lehman Hutton, Inc. Robert B. Grade Respondents CASE* 89-02281 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 14, 1989 Claimant Martha W.^ High alleged the Respondents entered the Claimant into unauthorized stock purchases and further alleged Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -•»•••»**»•»»»»*•»»»»*»»»*»*»•»»*»**»***»*•»»*•»•»•»*•»•»•»»•»»•»«••»•»»•«•* * In the Matter of the Arbitration Between/Among William R. and Phyllis A. Marshall vs. Keith M. Pillich AWARD Claimants Respondent Case '89-02279 CASE SIMftRY Claimants William R. and Phyllis A. Marshall alleged that Respondent Keith M. Pillich misrepresented to the Claimants chat their investments with him would

NATIONAL AV/.M;! M 10'! '^ '. H'-'JP [TIES OE.ALLP'.., INC. In the Matter of the Arbitration Between Lena Va)ent vs. laimant Joseph P. McGivney & Associates, Inc Drake & Co. Investment Services, Inc. Respondents CASE =89-02Z74 AWARD CA1.E NUMMARY Claimant alleges Respondents failed i o carry out a sMl order. Respondent Joseph P. McGivney 4 Associates, Inc. ("J.P. McGivney") contends the losses in the stock purchased by Claimant were

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ~~ of Claimant(s1 Neona and Steven N. Sweningson - .** x and 89-02272 American Asset Management, Inc. Michael Awes CASE In a claim filed on or about August 10th, 1989, Claimants Neona and Steven Sweningson allege that Respondents Michael-'awes and American Asset Management (Collectively "Respondents") purchased^ securities for C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) HARRIETT H. STORY. ) Claimant, } ) Case #89-02270 vs. ) Award ) ADVEST. INC., ) Respondent. ) ) Heard before the member of the Arbitration Panel: Robert Herschmann. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on August 14, 1989. The hearing was conducted in Fort Lauderdale, Florida on June 26, 1990 with a total of on*

N.A.S.D. AWARD -- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Herbert S. Olsen 89-02269 Iame of Dean Witter & Co. John Cleveland Jr. Heard before: Name Public/Industry Harry E. Jennings, Jr. _ Public _ Joseph C. Roberts _ Public _ Don Boehm Industry... This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 14, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Diann Franchina Claimant(s) vs. 89-02260 Blinder, Robinson 6 Co., Inc. and John SholtiB, Jr. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) Joseph and Diann Franchina alleged that Respondent(a) Blinder, Robinson & Co., Inc. and John SholtiB, Jr. made misrepresentations to induce the sale of securities owned by

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Hamid R. Kordadeh Case No. 99-02796 Names of Respondent PaineWebber, Inc. Steven B. Restifo REPRESENTATION OF PARTIES For Hamid R. Kordadeh ("Kordadeh"), hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq. of the law firm of Ainsworth, Sullivan, Tracy, Knauf, Warner & Ruslander, P.C., Albany, New York. For PaineWebber, Inc. .("PaineWebb

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen H. and John F. Lawrence vs. Claimant(a) 89-02259 Piper Jaffray & Hopwood and Timothy P. Woods Respondent(s) HOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Eileen H. and John F. Lawrence alleged that Respondents) Piper Jaffray & Hopwood and Timothy P. Woods churned Claimant's account and failed to satisfy Claimant's investment