NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lawrence Ferrara, Jr. Monica Ferrara Claimants vs. Laid law Adams & Peck, Inc. Richard Roffis Peter Thropp Respondents CASE #89-00647 AWARD CASE SUWARY Claimants assert Respondents misrepresented, misappropriated their funds and made an investment unsuitable for them, namely Putnam High Income Government Trust. Respondent Richard Roffis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clarence L. Thompkins Claimant(s) vs. 89-00646 John Margiotta Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Clarence L. Thompkins alleged that Respondent(s) John Margiotta negligently mishandled Claimant's account held with Respondent. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Clarence L. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Emma Smith Claimant vs. Gary Curto, Equitable Securities of New York, Inc. Smith Barney Harris Uph*m & Co., Inc. Levco Securities Corp. and David W. Appel, Jr. Respondents Case 189-00644 AWARD CASE SUMMARY Claimant, Emma Smith (hereinafter "Claimant") alleged that Respondents, Gary Curto (hereinafter "Curt;"). Equitable Securities

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPH A. VEROLA, Claimant, vs. SHEARSON LEHMAN MUTTON, INC. and ABRAHAM L. LERNER, Respondents. Case /89-00642 Award Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Harry Polansky Leslie Bishop CASE SUMMARY This claim was filed with the NASD. Inc. on March 1, 1989. The hearing was conducted in Fort Lauder

N.A.S.D. AW&RD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Joe B. Huffhines Claimant and Rauscher Pierce Refsnes, Inc. and ~ r - wyatt Carr, Jr. Respondents In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 1, 1989, the Estate of Joe B. Huffhines ("Claimant") alleged that Rauscher Pierce Refsnes ("Rauscher") and Wyatt Carr, Jr. (

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dain Rauscher Incorporated, Claimant vs. Shamaz Mayginnes, Respondent. Case Number: 99-02584 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Dain Rauscher Incorporated ("DRI"), hereinafter referred to as "Claimant": Ronald Kravitz, Esq., Zelle, Hofmann, Voelbel & Gette, LLP, San Francisco, California; and David M. Fogel, Esq., Dain Rauscher Incorporated, Mi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sally Cassedy Rachford Claimant vs. AWARD #89-00628 John P. McEvoy Jeffrey liter Louis Carmichael Respondent Case Summary Claimant Sally Cassedy Rachford (hereinafter "Claimant") alleged that Respondents John P. McEvoy, Jeffrey Titer and Louis Carmichael (hereinafter "Respondents") placed Claimant in speculative and unsuitable investments with

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas J. Gentile Claimant vs. Cowen & Company Ernest Mishne - Respondents CASE #89-00626 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1989 the Claimant Thomas J. Gentile alleged the Respondents violated suitability requirements by encouraging the Claimant to open a margin acco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF ^ARBITRATION BETWEEN Marmelo Farms, Inc. Claimant vs. Case #89-00620 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. and George G. Riles Respondents CASE 5UWARY This proceeding was commenced initially on March 23, 1989 by Jeffrey D. Peterson, Vice President of Southern Plantations, Inc., on behalf of Claimant Marmelo Farms, Inc. ("Marmelio") against Respondents Merri

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Louis DeVries Claimant(s) vs. 89-00616 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Louis DeVries alleged that Respondent(s) Dean Witter Reynolds, Inc. made misrepresentations and delayed liquidation. Respondent(s) deny all allegations. RELIEF REQUESTED Claimant(s) Louis DeVries requested damage