N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf. Claimant(s) Anthony Thomas Savarese, Trustee, et al. 89-01623 Name of Resryinc^>nt^( g) Merrill Lynch, Pierce Fenner & Smith Inc Richard Kraft This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 2, 1989. Claimant alleged negligence and fraud in connection with an order to purchase "puts" on th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert V. and Maureen Castro Claimant(s) vs. 89-01617 First American Capital Resources, Inc. and David Futransky Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(3) Robert V. and Maureen Castro alleged that Respondent(s) First American Capital Resources, Inc. and David Futransky executed unauthorized transactions in Claimants' a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STEVEN R. JONES AND ANITA M. CRESS Claimants and SPRUNG & WISE SECURITIES, INC., NICKY OIMITRIJEVICH, TIMOTHY WISE, EQUA SEARCH INVESTORS GROUP, AND ANTHONY COLARUSSO Respondents ) CASE NO. 89-01616 CASE SUMMARY In their claim filed with the NASD on or about July 11, 1989, Claimants Steven R. Jones and Anita M. Cress ("Claimants") alleged that R

N.A.S.D. AWARD NftTICfftL ASSOCIATION OF SECURITIES DEALERS In tl» Matter of the Arbitration Between Name of Claimant? si Dean Witter Reynolds, Inc. 89-01614 fL Respondent I s \ Otto L. Dittmar Derrill L. Mannle Heard before the < arbitrator/manbers of the Arbitration Panel>: Name • Public/Industry Alan M. Greene, Esq. Public/Chairman Mauricio Kbhn Public/Panelist Eugene F. Leich Industry/Panelist This matter was initiated by a St

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gareth E. and Carol W. Weeks Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01610 CASE SUMMARY Claimant(s) Gareth E. and Carol W. Weeks alleged that Respondent{s) Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to follow instructions. Respondent(s) denies any and all allegations of wrong

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -_-? Arbitration Between JAMES G. WATRIS3 ) ) Claimant(s) ) Case No. 89-01605 and ) MERRILL LYNCH, PIERCE, FENNER ) & SMITH, INC. *m WILLIAM G. RYAN, JR. Respondent(s) CASE SUMMARY In a claim "led with the NASD on or about June I, 1989, Claimant James G. Watriss ("Claimant") alleged that Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") and William G.

MAY 1 R NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chang Ho Lee Claimant vs. AWARD #89-01601 Dean Witter Reynolds, Inc. Respondent Case Summary Claimant Chang Ho Lee alleged that Respondent Dean Witter Reynolds, Inc. failed to execute Claimants instructions to sell SmlthKline-Beckaan options on two occasions. When the options were eventually sold by Dean Witter Reynolds, Inc., Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Denis M. Crowley (Claimant) vs. David L. Witherbee (Respondent) Case Number: 99-02703 REPRESENTATION OF PARTIES Claimant, Denis M. Crowley, hereinafter referred to as "Claimant," appeared pro se, Respondent, David L. Witherbee, hereinafter referred to as "Respondent": Matthew J. Kadnar, Esq., LPL Financial Services, Boston, Massachusetts CASE INFORMATION Statement of C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ali S. Zaza Claimant(s) vs. John Finn & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01596 CASE SUMMARY Claimant(s) Ali S. Zaza alleged that Respondent(s) John Finn & Co. negligently mishandled Claimant's order to purchase stock. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant (s) Ali S. Zaza requested damages of Fou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) j Jeffrey A. Gordon Claimant ) ) vs . ) AWARD ) Bear Stearns & Company Respondent } CASE NO. 89-01592 SUMMARY OF ISSUES Claimant alleged Respondent improperly cancelled and re- billed his order to sell shares of Dart Group Corporation two days after settlement, creating an unsecured debit balance in his account . Claimant alleged Respondent ac