NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Terrence A. and Joann M. Quinn Claimant(s) vs. 89-01686 The Stuart-Jan.es Co. and Philip S. Brown Respondent(s) HOTICB OF ARBITRATION AKARD CASE SUMMARY Claimant(3) Terrence A. and Joann M. Quinn alleged that Respondent(s) The Stuart-James Co, and Philip S. Brown failed to explain the risks associated with certain investments recommended

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JAMES M. WREDE ) Claimant ) and ) ) CASE NO. 89-01679 CHARLES SCHWAB & COMPANY, INC. ) Respondent ) CASE SUMMARY In a claim filed with the NASO on or about June 9, 1989, Claimant Jamer M. Wrede ("Claimant") alleged that Respondent Charles Schwab & Company, Inc. ("Respondent") was negligent in failing to provide material information and document

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Chester H. Bruce Claimant ) ) vs. ) AWARD Wedbush Securities, Inc. and Respondents ) CASE NO. 89-01678 George Blatchford ) SUMMARY OF ISSUES Claimant alleged Respondents failed to execute in a timely manner his instructions to sell his shares of First Tcidon. Respondents denied the allegation and asserted in their defense that the stock was liqu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Dean Witter Reynolds, Inc. Claimant ) vs. ) AWARD ) Edward Karesky Respondent ) CASE NO. 89-01677 Heard Before the Members of the Arbitration Panel: A. James Mi ranti Lewis C. Brown David N. Mahler SUMMARY OF ISSUES This case was filed on June 7, 1989. Claimant alleged that Respondent Edward Karesky ("Karesky") was employed by Dean Witter .R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret Ruth Overton, Trustee, Margaret Ruth Overton Trust Claimant(s) vs. Blinder, Robinson & Co., Inc. vs. Charles Beck Respondent(s) NOTICE OP ARBITRATION AWARD 89-01673 CASE SUMMARY Claimant(s) Margaret Ruth Overton, Trustee, Margaret Ruth Overton Trust alleged that Respondent(s) Blinder, Robinson & Co., Inc. made unauthorized tra

STPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between DOUGLAS L. BRYANT and ) JANET C. BRYANT, ) ) Claimants, ) ) v. ) NASD Case No. 99-02719 ) MIDWEST DISCOUNT BROKERS, INC., ) TODD SUMAN, GARY MICHAEL DEWEESE, ) DANA EDWARD PETERSON, and ) RICHARD TIMOTHY PIGG, ) ) Respondents. ) REPRESENTATION OF PARTIES Claimants, Douglas L. Bryant and Janet C. Bryant, hereinafter referred to as "Claimants

N.A.S.D. AMENZD NATTOWL ASSOOXriGH OP SECURITIES DEAIZRS In the Matter of the Arbitration Dstneen Richard J. Pistons Wafcefield Financial Corp. Terry Fiorillo Frank Casillo Warren Green Alexander Hinella No. 89-01669 Heard before thai of the Arbitration Panel* Joseph L. Bemetein/ Espj. Terrene* H. Grant George R. Canty, Jr. CASK SUMOT This claia was filed with the NASD, Inc. on June 7, 1989. The hearing woe conducted

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alexander and Wanda Belmont JTWROS vs. Claimant(s) 89-01666 Leonard Tucker, Ray Steinman and David Miller Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Alexander and Wanda Belmont JTWROS alleged that Respondent(s) Leonard Tucker, Ray Steinman and David Miller misrepresented material facts as to Claimants' investment wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Arthur P. Tearington ) ) Case 189-01664 Jack Mondel Larry Zuliani Dave Hater Ann Trenton Ed Hanson Stow Hersh Wallace Giakas Heard before the Arbitrator: George Polos, Esq. CASE SIMORY This claim was filed with the NASD, Inc. on June 6, 1989. The hearing was conducted in Tampa, Florida on September 13, 1990 with

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elizabeth F. Hartwell VS. Claimant AWARD 189-01662 Shearson Lehman Mutton, Inc. Respondent Case Summary Claimant Elizabeth Hartwell alleged that Respondent Shearson Lehman Mutton, Inc. placed her in unsuitable investments and churned her account. Respondent maintained that the Claimant received and reviewed confirmation slips and monthly account state