NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Gay Klein Claimant vs. Case #89-02006 AWARD Dean Witter Reynolds, Inc. Respondent CASE SUtURY Claimant Gay Klein alleged that Respondent Dean Witter Reynolds, Inc.," acting through its employee Alan Rose, induced the Claimant to invest in a limited partnership, specifically Commonwealth Mortgage of America, L.P., by misstating that it was a "ver

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert and Cynthia Bielling Case No. 99-02726 Names of Respondents The Golden, Lender Financial Group, Inc. Tomer M. Yuzary losif Pak Roman Sakharovich Lee M. Solomon, Jr. Konstantin Tokar Jean O. Brutus REPRESENTATION OF PARTIES For Robert and Cynthia Bielling ("Claimants"): Kenneth P. Hazouri, Esq. of Drage, de Beaubien, Knig

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred C. Follmer and Sharon R. Follmer Claimants vs. Sherwood Capital, Inc. Mark A. Sottile Respondents AWARD #89-02004 CASE SUMMARY Claimants alleged that Respondents misrepresented the value of common stock purchased by the Claimants and failed to act in a prudent manner in not presenting losses incurred by the Claimants when the price of the c

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony and Catherine DiDonato Claimant(s) vs. 89-01998 Profile Investments Corp. Respondent (s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Anthony and Catherine DiDonato alleged that Respondent(s) Profile Investments Corp. failed to complete the sale of Claimants' stock. Respondent did not respond. RELIEF REQUESTED Claimant(

N.A.S.D. AWARD NMICNAL ASSOCXKnCN OF SHllki'mS DEALERS la the Matter of the Arbitration 89-01997 Vandsrbilt Securities, lac. Snith fc Barris, Longview, Texas. by by Gary H. Shaver, Esq. of Tftrhoiir, Kenley, Boyland, Tha Statanait of f r '»^'« t«a filed on, or about JUly 13, 1989. Reply to filed on or about "•"•"*>•»• 8, 1989. Claimant's Subnisaica AgreoDBnt ff^p™^ OB July 10, 1989. Statamant of JhiBiiiii' filed by Baapondant, Vandad

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ROBERT L. PIERCE, JR. ) ) Claimant ) and ) ) CASE NO. 89-01995 MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND STEPHEN LOFTUS ) ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASO on or about July 13, 1989, Claimant Robert L. Pierce, Jr. ("Pierce"-) alleged that Respondents Merrill Lynch, Pierce & Smith, Inc. ("M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph and Jeanne Rocchio JTWROS vs. Claimant(s) 89-01993 Equities International Securities, Inc. Respondent(8) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph and Jeanne Rocchio JTWROS alleged that Respondent(s) Equities International Securities, Inc. negligently mishandled Claimants' account held with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs. 89-01989 Joan D. Mescon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Joan D. Mescon received payment for the proceeds of the sale of 200 shares of a certain security when Respondent was entitled to proceeds from the sale of only 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs. 89-01988 Robert L. Pearson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Robert L. Pearson failed to meet a margin call and as a result Claimant liquidated Respondent's account to a debit balance of $5,717.17. Only $1,208.19 of the

NASD N.A.S.D. AWARD NATICNRL ASSOCIATICH CF SECURITIES DERLHG Arbitration National AMoeiation of Securitlea Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between rvf Richard Johnson va of Pfjff Case # 89-01979 Securities Settlement Gorporaticn Robert Maietta Claimant, Richard T. Johnson, alleges that he purchased 50,000 shares of United Buying