NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Victor Hanson Claimant ) ) vs. ) AWARD ) Power Securities, Inc. Respondent ) CASE NOS. JJ9-Q,IQ.Q4 ) 89-01017 SUMMARY OF ISSUES These cases were filed on April 4, 1989. On December 19, 1989, the cases were consolidated for hearing on January 9, 1990. Claimant alleges that Respondent sold certain unlisted common stocks that were not qualified to

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATION AWARD 89-01002 In the Matter of the Arbitration Between Gladys P. Amodio Claimant-(s) vs. Christopher J. Coletti and F.D. Roberts Securities, Inc. Respondent(s) ! . i CASE SUMMARY Claimant Gladys P. Amodio alleged that Respondents Christopher J. Coletti and F.D. Roberts Securities, Inc. Negligently misrepresented to the Claimant the issues involved with Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ' MARLON & SYLVIA POOL ) ) Claimants ) and ' ) ) CASE NO. 89-01001 POWERS SECURITIES, INC. AND ) RAF CORPORATION ) ) Respondents ) CASE SUMMARY Marlon B. Pool and Sylvia F. Pool ("Claimants") alleged that Powers Securities Corporation and RAF Financial Corporation (Powers and RAF are referred to herein as "Respondents") failed to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ying M. Liu and Yu C. Bian, (Claimants) vs. Fidelity Brokerage Services, Inc., (Respondent). Case Number: 99-02620 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Ying M. Liu ("Liu") and Yu C. Bian ("Bian"), hereinafter collectively referred to as "Claimants": Michael M. Nguyen, Esq., Pham & Nguyen, Houston, Texas. Respondent, Fidelity Brokerage Services, Inc

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G. Beverly Hilborn 89-00997 Mane of ttemnnrtem- Rotan Mosle Inc. Richard P. Canselmo, Jr. James P. Jackson CASE StflMARY G. Beverly Hilborn ("Claimant") alleged that Richard Cancelao and Janes P. Jackson, registered representatives of Rotan Marie, Inc. (Rotan Masle, Richard Cancelmo, and James P. Jackson are collectively referred to her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JORGE L. GONZALEZ, ) Claimant, ) ) Case #89-00992 vs. ) Award DEAN WITTER REYNOLDS. INC., ) Respondent. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Alexander Eltman, Esq. Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on March 22, 1989. The hearing was conducted in Fort Lauderdale, Flori

HATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Mrs. Henry R. Jacoby Claimant vs. Case #89-00989 AWARD Prudential-Bache Securities, Inc. and Kassover Respondents CASE SUMMARY Claimant Mrs. Henry R. Jacoby alleged that she purchased shares of the Prudential-Bache Government Plus Fund based upon Respondent Bernard Kassover's, an employee of Respondent Prudential-Bache Securities, Inc., reco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants /CountQr;-R6grjQgdentg Kevin & Theresa Cooney 8S-00988 of Marrill Lynch, Pierce, Fenner & anith, Inc. Broadcort Capital Corporation First Affiliated Securities, Inc. J. Patrick Bonn /Counter— Respondent David W. Cooney Name of Respondents /Counter-Claimants MBrrill Lynch, Pierce, Fenner & Smith, Inc. Broadcort

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) JONATHAN B. SMALL, ) Claimant, ) ) Case 189-00996 vs. ) Award ROBERT MERRIFIELD, MICHAEL GARSON ) and RICHARD MARCHESE, ) Respondents. ) Heard before the member of the Arbitration Panel: Alexander Eltman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on March 31, 1989. The hearing was conducted in Fort Lauderdale, Florida on March

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald E. Gauntt Claimant(s) vs. Power Securities Corp. and Robert T. Gilbert Respondent(s) NOTICE OF ARBITRATION AWARD 89-00984 CASE SUMMARY Claimant(a) Gerald E. Gauntt alleged that Respondent(s) Power Securities Corp. and Robert T. Gilbert failed to execute a trade. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Gerald E. G