FEB 1 2 RK NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph V. Marone Claimant vs. AWARD #89-00398 Wally Bakalinski Respondent Case Summary Claimant alleged that Respondent executed excessive and unauthorized trades in his account which resulted in losses to the Claimant. The Respondent maintained that full disclosure was made to the Claimant regarding all trading executed in his

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02577 Charles Schwab & Co., Inc., claimant vs. Guichuan Liang, respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc. ("Claimant"), Richard Karoly, Esq., Corporate Attorney, Charles Schwab & Co., Inc., San Francisco, California. Respondent Guichuan Liang ("Respondent") appeared Pro Se., Flushing, New York. DATE FILED: 06/04/1999 CASE SUMMARY: Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } Harold J. Nicholson and Claimants ) Veomia £. Nicholson ) vs. ) CASE NO. 89-00390 Shearson Lehman Hutton, Inc. Respondents ) and Larry Van Laningham ) SUMWRY OF ISSUES This case was filed with the NASD on February 8, 1989. Claimants alleged that after receiving a notice of a proposed redemption of Panhandle Eastern debentures they placed an order with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen Muscatell Clairaant(s) vs. 89-00385 Blinder Robinson and Co., Inc. and Peter Newmes Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kathleen Muscatell alleged that Respondent(s) Blinder Robinson and Co., Inc. and Peter Newmes committed unauthorized trading in Claimant's account held with Respondent. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Lee Brozen } ) . Claimant(s) ) ) and ) CASE NO. 89-00379 ) Norstar Brokerage Corporation ) ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on or about February 8, 1989, Claimant Lee. Brozen ("Claimant") alleged that Respondent Norstar Brokerage Corporation ("Respondent") breached its fiduciary duty to her by failing to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Irene A. Duffet as Executrix of the Estate of George Wright vs. G.K. Scott & Co., Inc. Theodore P. Allocca, Sr. Claimant Respondents CASE 189-00377 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1989, Claimant alleged Respondent Theodore P. Allocca, Sr. made unauthorized, excessiv

NATIONAL ASSOCIATION OF SECURITIES L'L-ALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Ernest and Edith Prager Claimants vs. Oppenheimer & Co., Inc. Christopher J. Leavy and Respondents Case #89-00375 AWARD CASE SUMMARY Claimants Ernest and Edith Prager ('Claimants") alleged that Respondents Christopher J. Leavy and Oppenheimer & Co., Inc. ("Respondents") improperly liquidated 100 shares of Allegis Corp. and 500 shares o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. Robert M. Kirby Claimant vs. Robinson Humphrey Co., Inc., also d/b/a Shearson Lehman Mutton, Inc. Gregory Q. Glenn Respondents AWARD *89-00369 Case Summary Claimant Robert M. Kirby alleged that Respondents made an unauthorized purchase of securities for the Claimant's account resulting in a loss to the Claimant upon sale of the purchased shares.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Barry Paulsell Claimant v. AWARD f89-00356 Merrill Lynch, Pierce Fenner & Smith, Inc. Respondent CASE SUMMARY The Statement of Claim was filed on February 6, 1989. Claimant, Barry Paulsell, alleged that Respondent, Merrill Lynch, Pierce Fenner & Smith Inc. breached its fiduciary duty toward Claimant by giving him inaccurate information concerning market conditions in October of 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter Of The Arbitration Between and Among Dennis T. Caron, Case No. 89-00352 Claimant, vs. Equitable Securities of New York, Inc., Glenn Swope, Bill Pearce, and Steve Kochensparger, Respondents. AWARD Case Summary Claimant Dennis T. Caron ("Claimant*) alleged that Respondents Equitable Securities of New York, Inc. ("Equitable"), Glenn Swope ("Swope*), Bill Pearce ("Pearce"