NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between DAVID BUDIN, Claimant, vs. INDIVIDUAL SECURITIES, LTD. STEPHEN SCHWARTZ. DOMINICK & DOMINICK, INC.. and DOMIKICK INVESTIOR SERVICES CORPORATION. Respondents. Case #89-01501 Award Heard before the member of the Arbitration Panel: Marina Shank-Klein. Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on Hay 18, 1989. The hearing

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lee R- Piper, Claimant v. Salomon Smith Barney, Respondent Case Number: 99-02686 REPRESENTATION OF PARTIES For Claimant; Claimant represented himself For Respondent: Respondent Salomon Smith Barney, Inc. was represented by Shannon Hobbs, Vice President, Human Resources Generalist, and Nancy Aly, Service Center Manager, First Vice President. Neither party was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) ROGER J. and GENEVIEVE N. KEMPA ) Claimant(s) ) Case (< o. 89-01500 and ) ) FIRST MOMTAUK SECURITIES CORP. and ) RON PEXARCHIK ) Respondent(s) ) CASE SUWARY tn a statement of claim filed with the NASD on May 18, 1989; Claimants Roger J. Kempa and Genevieve M.-Kempa alleged that Respondents failed to execute a sale of company warrants when

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Arthur Samuels, Sr. and Claimants ) Dee Samuels ) VS. PaineWebber,Inc. and Stephen H. Akin Respondents ) AWARD CASE NO. 89-01498 SUMMARY OF ISSUES Claimants alleged that Respondents recommended and placed their funds in investments in common stocks and covered options calls which were unsuitable given their financial position and objectives, e

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Case #89-01497 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Abrenam and Ruth Haim Claimants vs. Monmouth Investments, Inc., Seen? itiis Settlement Corp. Am, Trenton Respondents CASE SUMMARY Claimants Abraham and Ruth Haim alleged that Respondent Ann Trenton, an employe? of Despondent Monmouth Investment';, !"c., failed to execute their sell order for 2000 shares of Seres Industri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jan Pitcher vs. Claimant(s) 89-01492 Prudential-Bache Securities, Inc., Shirley Ward and Don Kelly Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jan Pitcher alleged that Respondent(s) Prudential-Bache Securities, Inc., Shirley Ward and Don Kelly misrepresented facts concerning commission charges. Respondent(s) deny all allegati

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00946 Margaret Bercik FAO Mark and Margaret Bercik Margaret Bercik FAO Brian and Margaret M. Bercik Margaret M. Bercik FAO Margaret Jones and Margaret Bercik Margaret M. Bercik FAO Lynn Cooper and Margaret Bercik Margaret M. Bercik and Peter Bercik JTWROS Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lync

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00872 Rudolph C. Baier Names of the Respondents Hearing Site: Washington, D.C. Ehrenkrantz King Nussbaum, Inc. George Tamborello Michael Sackstein Anthony Ottimo Thomas Giugliano Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Rudolph C. Baier, hereinafter referred to as "Claimant",

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01593 James Reid, an individual Susan J. Reid, an individual Names of the Respondents Hearing Site: Orlando, Florida Cambridge Investment Research, Inc., a corporation Mutual Service Corporation, a corporation La Salle Street Securities Inc., a corporation Securities Service Network, a corporation Scott Olson, an individu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Freeman and Marion J. Freeman Claimant(s) vs. 89-01489 Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert E. Freeman and Marion J. Freeman alleged that Respondent(s) Fidelity Investments negligently mishandled Claimants' account held with Respondent. Respondents) denies Claimants' allegatio