NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ; Harry & Eleanor Gonick Claimants ) ) vs. ) AWARD ) Orexel Burnham Lambert, Inc. Respondent ) CASE NO. 89-00716 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 13, 1989. Claimants alleged negligence, breach of fiduciary duty, misrepresentation, and fraud in connection with Claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Emilie H. Welch Claimant ) ) NASD No. 89-00713 vs. ) PaineWebber, Inc. Respondents Halter Keating SUMMARY OF ISSUES This claim was filed on March 13, 1989. Claimants alleged the following: lack of suitability, unauthorized trading and failure to supervise her portfolio of securities. Respondents de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Peter Victor Claimant vs. Case #89-00708 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Caroline Kelly Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1989 Claimant Peter victor alleged the Respondents recommended investments which were unsuitable to his investment needs and objec

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carol Snyder Halberstadt (Claimant) vs. ETrade Securities, Inc. (Respondent) Case Number: 99-02591 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Carol Snyder HaJberstadt, hereinafter referred to as "Claimant": Robert D. Hillman, Esq., Deutsch Williams Brooks DeRensis Holland & Drachman, P.C, Boston, MA. Respondent, E*Trade Securities, Inc., hereinafte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) MARGARET F. COKE ) Claimant ) v. ) NASD NO. 89-00700 PRUDENTIAL-BACHE SECURITIES, INC. ) JAMES P. CLARK and RICHARD P. ARCHBOLD ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about March 13, 1989, Claimant Margaret F. Coke ("Claimant") alleged that Respondents Prudential- Bache ("Pru-Bache"), J.P. Clark ("Clark"), and Richard Pete

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John and Florence Wallace Claimant(B) vs. 89-00690 Citicorp Brokerage, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John and Florence Wallace alleged that Respondent(s) Citicorp Brokerage, Inc. failed to deliver certain stock certificates as repeatedly requested by Claimant. Respondent(s) maintain that Claimants suffered

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Curtis Beachum II Claimant(s) vs. AWARD 89-00688 Scottsdale Securities, Inc. and Roger Riney Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) James Curtis Beachum II alleged that Respondent(s) Scottsdale Securities, Inc. and Roger Riney negligently mishandled Claimant's brokerage account held with Respondent. Respondent(s) de

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between R. Paul Mikulas Claimant(s) vs. AWARD 89-00684 Richard Blackman & Co. and Tom Leonard Respondent(s) NOTICE OF ARBITRATION CASE SUMMARY Claimant(s) R. Paul Mikulas alleged that Respondent(s) Richard Blackman & Co. and Tom Leonard negligently mishandled Claimant's account held with Respondent. Respondent(s) maintain that they acted fairly and wi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) OPPENHEIMER 4 CO., INC. ) ) Claimant ) and ) ) CASE'NO. 89-00682 GREGORY HARRINGTON ) ) Respondent ) CASE SUMMARY Oppenheimer & Co., Inc. ("Claimant") alleged that Gregory Harrington ("Respondent") owed the Claimant for the debit balance which exists in the Claimants account. The Claimant alleged that the debit balance arose when the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter Builard Claimant(s) vs. 89-00677 Masa Ellis Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Peter Builard alleged that Respondent(s) Masa. Ellis mishandled his account. Respondent(s) denies all allegations. RELIEF REQUESTED Claimant(s) Peter Bullard requested damages of Two Hundred Twenty Three Dollars and Ninety-Five