NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Yu-Wen Tung Claimant(s) vs. 89-01915 Robert Pocilio Respondent(s NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Yu-Wen Tung alleged that Respondents) Robert Pocilio engaged in misrepresentation in connection with stocks sold to Claimant. Respondent did not answer. RELIEF REQUESTED Claimant(s) Yu-Wen Tung requested damages of One Thou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Dorothy C. Poster CASE #89-01914 Carl B. Zuckerman JTTEN . AWARD Claimants vs. Westport Securities, a Division of Westport Financial Group, Inc. and Jason Barshop Respondents CASE SUWARY Claimants, Dorothy C. Poster and Carl B. Zuckerman, allege that Respondents, Westport Securities, a Division of Westport Financial Group, Inc., and Jason Barshop, m

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Barry D. Rader Claimant(s) vs. 89-01912 Ameritrade, Inc., Rosemary Grady, and Amerimutual Corp, Respondent< s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Barry 0. Rader alleged that Respondent(s) Araeri. trade, Inc., Rosemary Grady, and Amerimutual Corp. failed to execute a trade. Respondent Ameritrade, Inc. maintains that the transac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert I. Murphy Claimant(a) vs. NOTICE OF ARBITRATION AWARD 89-01911 Fidelity Brokerage Services, Inc. and National Financial Services Corp. Respondent(s) j CASE SUMMARY Claimant(s) Robert I. Murphy alleged that Respondent(s) Fidelity Brokerage Services, Inc. and National Financial Services Corp. mishandled the transfer of Claimant's funds. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charleen Standley Claimant ) vs. ) AWARD Kidder, Peabody & Co., Inc. Respondent ) CASE NO. 89-01907 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on July 3, 1989. Claimant alleged fraud, breach of fiduciary duty, negligence, violations- of NASD and exchange rules, and securities law violations. Specifi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration ) Between ) Mark T. Forish, ) CASE 189-01904 Claimant ) AWARD vs. ) Peter D. Knight ) New England Securities Corporation,) Respondents ) CASE SUMMARY Claimant Mark T. Forish alleged the Respondents Peter D. Knight and New England Securities Corporation improperly invested monies received from Forish's "qualified" pension plan into a "non-qualified",

FEB 15RGCQ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Ford vs. Claimant First Investors Corporation Walter Selva Respondents AWARD #89-01897 Case Summary Claimant alleged that Respondents misrepresented two securities investment plans to him and alleged that the plans failed to produced the results promised by the Respondents. Respondents maintained that no misrepresentation

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Susan M. Anderson vs. Claimant(s) 89-0189.5 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Susan M. Anderson alleged that Respondent(s) Prudential-Bache Securities, Inc. committed unauthorized and unsuitable transactions with respect to Claimant's investment. Respondent(s) denies Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between KARL, GUNTER AND ARNO PENZIAS. Claimants. vs . ) Case No. 39-01893 ) Award ALLIED CAPITAL GROUP, INC., ED FAY AND DALE DARGIE, vs ALDO D. RODRIGUEZ, Respondents , Third .Party Respondent. Heard before the Arbitrator: Guthrie F. Crowe CASE SUMMARY This claim was filed with the NASD, Inc. on July 3. 1989. The hearing was co

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Northwest Netex Pension Trust Claimant vs. Case 189-01892 AWARD Gilbraltar Securities Company Respondent CASE SUMMARY Claimant Northwest Netex Pension Trust alleged that on October 1, 1987 it instructed Respondent Gilbraltar Securities Company to liquidate its investment in the Putnam Option Income Trust II Fund. Claimant alleged that Respondent