-*-v~*** N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Beo*ieen Name of Clainantfs) Peggy Boerner Arbitration National Association of Securities Dealer*, inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-444Q 89-00947 Narre of Re dental Stuart James Company, Inc. and Gary Fierce CBSS In a Statement of Claim filed with the NASD on March 28, 1989, as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between D.H. Pratt Claimant(s) vs. 89-00942 Michael B. Barnd Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) D.H. Pratt alleged that Respondent(s) Michael B. Barnd made misrepresentations. Respondent(s) denies all allegations of wrongdoing. RELIEF REQUESTED Claimant(s) D.H. Pratt requested damages of One Thousand Five Hundred Tw

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. Smith and Deborah B. Smith JTWROS vs. Claimant(s) 89-00939 Power Securities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert L. Smith and Deborah B. Smith JTWROS alleged that Respondent(s) Power Securities Corp. made unauthorized transactions. Respondent(s) did not respond. RELIEF REQUESTED Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter A. and Karen R. Lindquist JTWROS Claimant(s) vs. Blinder, Robinson & Co., Inc. and Thomas Christoffersen Respondent(s) NOTICE OP ARBITRATION AWARD 89-00936 CASE SUMMARY Claimant(s) Peter A. and Karen R. Lindquist JTWROS alleged that Respondents) Blinder, Robinson & Co., Inc. and Thomas Christoffersen made material misrepresentations

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry L. Carter, Jr. and Ernestine Carter Claimant(s) vs. 89-00932 Investors Center, Inc. and Wall Street Clearing Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Harry L. Carter, Jr. and Ernestine Carter alleged that Respondent(s) Investors Center, Inc. and Wall Street Clearing Co. mishandled their account. Respondent(s

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Marguerite Stone Claimant(s) vs. 89-00929 Xcel Securities, Inc. Respondent{s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marguerite Stone alleged that Respondent(s) Xcel Securities, Inc. made misrepresentations. Respondent(s) denies all Claimant's allegations. RELIEF REQUESTED Claimant(s) Marguerite Stone requested damages of One Tho

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02601 consolidated with 99-2602 Connie J. Ridzmski and Alan Ridzmski, claimants vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Suellen Cramer, respondents, vs. Stephen E. Berube, third party respondent. ATTORNEYS: Claimant Connie J. Ridzmski ("Claimant"), appeared Pro Se., Peachtree City, GA. Claimant Alan Ridzinski ("Claimant") (collectively "Claimants"), app

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet A. Habas Claimant First Jersey Securities, Inc. and Oonald Ray Hayes Respondents AWARD Case Summary Claimant, Janet A. Habas ("Claimant") alleged that Respondent First Jersey 5?C'jr?ties ("First Jersey") wi Respondent Donald Ray Hays ("w^yp«;"> ni^r»n Claimant in unsuitable and highly speculative investments. Claimant alleged that she made it clear

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher D. Bach Claimant(s) vs. 89-00927 Donaldson Lufkin & Jenrette and Michael Wilson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) Christopher D. Bach alleged that Respondents) Donaldson Lufkin & Jenrette and Michael Wilson misrepresented the risk associated with a security purchased by Claimant. Respondent(s) deni

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bonnie Sena vs. Meyer, Kohn & Co. Lou Meyer Larry Kohn Claimant Respondents AWARD #89-00922 Case Summary Claimant claimed for recision based on unsuitable investment recommendations for six (6) securities as stated in Statement of Claim of Bonnie Sena. Respondents denied each and every allegation in Claimant's claim. Relief Requested C