NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George F. Kish Claimant(s) vs. 89-01032 Dean Witter Reynolds, Inc., Burton J. Bloch, Joseph M. Bonanno, and Michael J. O'Brien Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) George F. Kish alleged that Respondent(s) Dean Witter Reynolds, Inc., Burton J. Bloch, Joseph M. Bonanno, and Michael J. O'Brien negligently mishan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfctter of the Arbitration Between Name of Claimant/sJ Marjorie Letz 89-01030 Name of Respondentfa^ Raymond, Janes & Associates, Inc. Robert R, Rice Hear before the members of the Arbitration Panel: John P. Cullem, Esq. Mr. James F. Turner III A. William Cohan, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on April 5, 1989. The hearing was conducted

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: MORGAN KEEGAN & COMPANY, INC. Claimant, v. VERLEY LEE "ROCKY" SEMBRTTZKY Respondent. Case Number: 99-02624 Hearing Site: Houston, Texas Claimant, Morgan Keegan & Company, Inc. ("Morgan Keegan"), hereinafter referred to as "Claimant": Michael K, Henry, Esq,, Morgan Keegan & Company, Inc., Memphis, Tennessee Respondent, Verley Lee "Rocky" Sembritzk

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. . — «• ^ «— •• ^ ^ ^ » «V ^» « IB ^^_ W _B^^M»M^N ^ ^HW^BW1^^ V B B MWW«W*« ^ < » — Hi In the Matter of the Arbitration Between Dr. Henry A. Singer Rosina Simonelli Singer Claimants vs. CASE* 89-01029 AWARD Fahnestock & Co., Inc. Carmine Zottoli Respondents Heard before: Martin Jay Siegel, Esq. Public Arbitrator Cynthia H. Plishtin Public Arbitrator Domen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Jay Phillips Claimant vs. Case #89-01021 AWARD Dean Witter Reynolds, Inc. and Alex Moore Respondents CASE SbWARY Claimant Jay Phillips ("Phillips") initially commenced this arbitration proceeding on April 3, 1989 against Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Alex Moore ("Moore"). Claimant alleges that Respondents are liable

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Philip N. Chance Dorothy J. Chance Claimants ) Award ) ) NASD No. 89-01020 vs. Frank M. Schwartz Respondent SUMMARY OF ISSUES This claim was filed on April 3, 1989. Claimant alleged lack of suitability in the purchase of August Income/Growth Fund, August Properties Fund II and Landsing Institutional Properties V. Respondent denied claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. In the Matter of the Arbitration Between Michael J. Stark Claimant VS. Paul Knight Respondent Case »89-01019 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1989 the Claimant, Michael J. Stark alleged the Respondent, Paul Kniglit, failed to execute his orders in a timely fashion. Respondent, Paul Knight, maintained he submitted t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #89-01018 AWARD IN THE MATTER OF THE ARBITRATION BETHEEN Benjamin P. and Florence M. Niqro Claimants vs. A.F. Green & Co., Inc. and Andrew Elbogen Respondent CASE SUMMARY Claimants Benjamin P. and Florence H. Nigro alleged that Respondent Andrew Elbogen ("Elbogen"), an employee of Respondent A.F. Green & Co., Inc., improperly recommended the Claimants purchase Onterie Center HFC ("Ont

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. !n the Matter of the Arbitration Between Hakan Ferhatoglu Claimant vs. Oppenheimer & Co., Inc. Windsor I.B.C. Yucel Akdeniz Respondents CASE «89-01008 AWARD CASE SUMMARY Claimant alleges that Respondents thought a broker named Yucel Akdeniz engaged in unauthorized trades purchasing two options in 1988. Respondent Oppeheimer & Co., Inc. argued that the broker was an employee of Wind

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Haze) N. Bullock Claimant vs. Case *89-01007 AWARD Kevin Houser Respondent CASE SIM4ARY Claimant Hazel N. Bullock asserts that between March 1984 and July 1986 she invested $32,965.64 with her Investment Executive Kevin Houser of PaineHebber, Inc., and that on or about November 3, 1987 Claimant received a check in the amount of $3,280.88 represe