NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jerald A. Valentine, Trustee Claimant(s) vs. 89-01587 Edward D. Jones & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (a) Jerald A. Valentine, Trustee alleged that Respondent (s) Edward D. Jones & Co. was charging excessive commissions. Respondent(s) maintain that the transaction was an "at risk" transaction and like any othe

XX NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between E. Tyrone and Esther Brown Claimant(s) vs. 89-01586 Momnouth Investment Inc., Securities Settlement Corp. and Kevin T. Tighe Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) E. Tyrone and Esther Brown alleged that Respondent(s) Monmouth Investment Inc., Securities Settlement Corp. and Kevin T. Tighe made unauthorized t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cornell A. Pezzino Claimant(s) vs. 89-01568 Thomas F. White & Co., Inc. and Sonia Schultz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Cornell A. Pezzino alleged that Respondent(s) Thomas F. White & Co., Inc. and Sonia Schultz executed a trade for the purchase of stock at a price not agreed upon by Claimant. Responden

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mae E. Bush Claimant(s) vs. 89-01563 Fitzgerald, Tainan, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mae E. Bush alleged that Respondent(s) Fitzgerald, Talman, Inc. forged Claimant's signature on a stock certificate. Respondent(s) did not respond. RELIEF REQUESTED Claimant (s) Mae E. Bush requested damages of Two Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William Rokopoulos Claimant vs. Michael Apollo Respondent AWARD Case #89-01561 CASE SUMMARY Claimant alleged that Respondent transferred funds from his account on October 16, 1981 and April 28, 1982 to his brother's account to cover margin calls without verbal or written authorization. Respondent contended that the claim was barred by the NASD s

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration James and Dorothy vs . Gershon Tannenbaum Brady Between Claimants Respondent X X X X X X X X X X X CASE NO. 89-01554 AWARD CASE SUMMARY Claimants, James and Dorothy Brady (collectively, "Claimants") alleged that the Respondent, Gershon Tannenbaum ("Tannenbaum"), failed to properly supervise

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CURT DREW KOSOW, > vs. SMiTH SARNE't, HARRIS UftiAM 4 CO. INC. and BENJAMIN BAUM, Respondents. Case 189-01551 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Harry Polansky Anthony S. Paetro. Esq. CASE SUMMARY This claim was filed with the NASD. Inc. on May 25. 1989. conducted in Fort Lauderdale, F

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) IRVING R. and MILDRED NOVACK, ) Claimants, ) ) Case #89-01547 vs. ) Award COMMVEST SECURITIES, INC.. ) Respondent. ) Heard before the members of the Arbitration Panel: Arnold Y. Steinberg, Esq. Arnold Sarrow Joseph M. Luby CASE SUMMARY This claim was filed with the NASD. Inc. on May 26, 1989. The hearing was conducted in Fort Lauderdale, F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Willard Saperston, (Claimant) vs. LaSalle Street Securities, Inc. and John McDermott, (Respondents) Case Number: 99-02700 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Willard Saperston, hereinafter referred to as "Claimant": Patrick G. Finegan, Jr., Esq., a sole practitioner, Washington, DC, Respondents, LaSalle Street Securities, Inc. ("LaSalle") an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Suzanne Clemente, (Claimant) vs. Smith Barney, Inc., Prudential Securities Inc., and Thomas B. Healy, (Respondents) Case Number: 00-01033 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Suzanne Clemente, hereinafter referred to as "Claimant": Richard L. Burstein, Esq., Fernandez, Burstein & Tuczinski, P.C., Albany, NY. Respondent, Smith Barney, Inc. ("SB