NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas H. Olsen Suzanne F. Olsen vs. Dean Witter Reynolds, Inc. Jack James Oscar Ryder Janice Hughes Claimants Respondents CASE* 89-01658 AWARD For Claimants: For Respondents: REPRESENTATION Frank J. Rooney, Esq. of the law firm of Frank J. Rooney & Associates. K. Stewart Evans, Jr.', Esq. of the law firm of McGuire, Wood

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William C. Lonon and Marie E. Lonon vs. Claimant(s) 89-01655 Kenneth Nightingale and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) William C. Lonon and Marie E. Lonon alleged that Respondent(s) Kenneth Nightingale and Wall Street Clearing Co. misrepresented material facts as to Claimants' investmen

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Virginia C. Smith Claimant(a) vs Blinder/ Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01653 CASE SUMMARY Claimant(s) Virginia C. Smith alleged that Respondent(s) Blinder, Robinson & Co., Inc. failed to execute a trade. Respondent(s) maintain that Claimant's losses, if any, were caused or contributed to by Claimant's own fault

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jack Korzilius Claimant(s) vs. Power Securities Co., Dave Blake and Jeff Smith Respondent(s) NOTICE OF ARBITRATION AWARD 89-01642 CASE SUMMARY Claimant(s) Jack Korzilius alleged that Respondent(s) Securities Co., Dave Blake and Jeff Smith lost Claimant's certificates. Respondent{s) did not defend. Power stock RELIEF REQUESTED Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of trie Arbitration Between ) ) WILLIAM H. PYLE ; ) Claimant ) and ) Case No. 85-01641 ) SECURITIES U.S.A., INC., DAVID WILLIAMS, ) JOEL BRODY, SCOTT CAROTHERS, } DEBORAH L. HOOTMAN. AND E.B. WILLIAMSON ) & CO., INC. ) Respondents ) VSE SUMMARY William H. Pyle ("Claimant") alleged as follows: 1. David Williams ("Williams") and Joel Brody ("Brody") regi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cowen & Co. Claimant vs. Dennis Kaplan Respondent AWARD 189-01639 Case Summary Claimant Cowen & Co. alleged that Respondent Dennis Kaplan failed to pay for a debit balance in Respondent's account that he maintained with Viceroy International Securities Corporation for which Cowen & Co. was the clearing agent. Respondent Dennis Kaplan maintained that C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard D. Farias and Howard D. Farias Charitable Remainder Trust, Claimants v. RFCA Financial Services, Inc., USA Capital, Inc., Kenneth A. Parker, David M. Berkowitz, Albeit L. Whalen, Patrick James Wilde n, and Todd Charles Bauman, Respondents Third-Party/Cross Claim: RFCA Financial Services, Inc., Third-Party/Cross Claimant v. Patrick James Wilde n, Todd Charles Bauman, Ara

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John A. Mikula Claimant(s) vs. David Capin vs. Jonathan Elyachar and E.F. Button and Co., Inc. a/k/a Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01637 CASK SUMMARY Claimant(s) John A. Mikula alleged that Respondent(s) David Capin committed and unauthorized transfer with regard to Claimant's account hel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Georgia L. Brooks ) & DavM Brooks Claimants ) ) vs. ) AWARD ) Bateman Eichler, Hill ) Richards, Inc., & Myles Morley Respondents ) CASE NO. 89-01633 SUWARY OF ISSUES Claimants alleged Respondents breached their fiduciary duty by placing this account on margin, that margin.was unsuitable for an account of this size and for the conservative fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles R. Tantillo and Financial Association, Inc. Claimant vs. 89-01624 Tidd Lackey & Co., Inc. and Donaldson, Lufkin & Jenrette Securities Corporation Respondents REPRESENTATIQM OP PARTIES Claimants Charles R. Tantillo and Financial Associates/ Inc. were represented by Russell S. Jones of the Law Offices of Shughart, Thomson & kelroy