Arbitration N.A.S.D. AWARD ., , National Association of Securities Dealers, Inc. . Suite 1680 NATIONAL ASSOCIATION OF SECURITIES DEALERS Three First National Plaza Chicago, It. 60602 (312) 899-4440 In the Matter of the Arbitration Between Stuart C. and Sharon S. Spigel 89-01546 of Gary Clifford Smith In a claim filed with the NASD on or about May 26, 1989, Claimants Stuart and Sharon Spigel ("the Spigels") alleged that Respondent

16 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles T. and Geraldine Connors Claimants vs. AWARD #89-01539 First Affiliated Securities, Inc. Respondent Case Summary • Claimants alleged that the Respondent executed unauthorized transactions in their account by purchasing options without their consent that subsequently resulted in losses for them. Claimants further alleged that the Respond

Arbitration N.A.S.D. FINAL ORDER National Association ol " Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS ' ' ?, 3 W ™ 8 £ a " Str t et v New Yorlc, New rone In the Matter of the Arbitration Between Russell S. Burnside Case * vs 89-01538 Name of Respondent First American Capital Resources, inc. D. R. Dwyer & Company Mark Anthony Carl Bitler Joh

MAY 1 7 RECO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Milan Licul Claimant vs. AWARD #89-01535 Mikal & Co., Inc. Respondent Case Summary Claimant Milan Licul alleged that Respondent Mikal & Co., Inc. fraudulently enticed Claimant to purchase shares of Penn Jersey common stock and misrepresented the stock to him prior to the purchase. Claimant alleged that he later learned upon receipt of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Douglas 8. McAdams Claimant vs. Shearson Lehman Hutton, Inc. Theodore C. Tanski Respondents CASE SUMMARY CASE #89-01534 AWARD Claimant, Douglas B. McAdams alleges that he informed Shearson Lehman Hutton, Inc. and Theodore C. Tanski, that his investment objective was a conservative investment geared towards preservation of capital with a view for

NATIONAL ASSOCIATION QF SECURITIES DEALERS. IMC. Joan Wilson Claimant vs. Case #89-01531 Award Robert G. Fietz and American General-Securities, inc. Respondents CASE SUMMARY Claimant, Joan Wilson ("JW"), alleged Respondent, Robert G. Fietz ("RGF") recommended an unsuitable investment in Commercial Management Services ("CMS"), personally guaranteed Claimant's principal, stated there was very little risk in the investment, and averred it w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Samuel Novick Esta Novick Louis Novick Leonard Novick Steven Novick Claimants vs. Robert Ellin Respondent CASE #89-01530 AWARD CASE SUWARY Claimants, Samuel, Esta, Louis, Leonard and Steven Novick, allege that Respondent, Robert Ellin made misleading, erroneous and fraudulent statements to them regarding Echo Mountain Resources, Ltd. (EM

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Albert Andre Claimant(s) vs. 89-01524 Amerimutual Corp. and Richard C. Avon Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Albert Andre alleged that Respondent(s) Amerimutual Corp. and Richard C. Avon made misrepresentations. Respondent(8) did not respond. RELIEF REQUESTED Claimant(s) Albert Andre requested damages of O

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tht Arbitration Between GEORGE AND BELLE COOPER. vs. DREXEL BRUNHAM LAMBERT, INC. and RICHARD E. GARCIA, Claimants, ) Case #89-01523 Respondents. Award Heard before the members of the Arbitration Panel: George R. Canty Jr. Eduardo J. Palacio, Esq. John Darling CASE SUMMARY This claim was filed with the NASD, Inc. on Hay 24, 1989. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin A. Craig Claimant(s) vs. Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01514 CASE SUMMARY Claimant(s) Kevin A. Craig alleged that Respondent(s) Blinder, Robinson & Co., Inc. through its former registered representative Mario Petri, purchased certain securities for Claimant's account without Claimant's consent and