NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Oscar B. Hecklin x Claimant x x CASE NO. vs. x 89-00322 x Denton & Co., Inc., Joseph L. Bachman, Jr., x AWARD George Stalega and Joseph Giordano x x Respondents x . x CASE SUMMARY Claimant, Oscar B. Hecklin ("Hecklin"), asserted three claims in his Statement of Claim. In the first claim Hecklin alleged that Respondent Joseph L. B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f CD Eugene D. Olcott, trustee, et al. 89-00320 Name of Respondentisi Prudential-Bache Securities Inc. Greg B. Wood Thomas 0. Bergen Raymond R. "Randy" Powell This claim was initiated by a statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about January 31, 1989 wherein Eugene 0. Olcott

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Herman MuHer AnneMarie Muller vs. Claimants Prudential-Bache Securities, Inc. Joseph E. Kehoe Wolcott Kenyon Respondents CASE #89-00316 AWARD CASE SUMMARY This proceeding was commenced initially on January 31, 1989 by Claimants Herman and AnneMarie Muller against Respondents Prudential-Bache Securities, Inc. ("Pru-Bache"), Joseph E. Kehoe ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thf nmm gnt rase Number 99-02567 Christian Briggs no Sitf.' Dallas, Texas All-Tech Investment Group, Inc.; and, David W. Thompson N ITR O 1 TlF Public Customer v. Member Firm and Associated Person PAR TFS Claimant Christian Briggs, hereinafter referred to as "Claimant": Appeared pro se, but was initially represented by several attorneys. R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ROBERT J. (c CHARLOTTE M. WINE, ) Claimants, ) ) Case 189-00315 vs. ) Award ) BLINDER. ROBINSON & COMPANY, INC., } Respondent. ) ) Heard before the members of the Arbitration Panel: Guthrie F. Crowe George R. Canty, Jr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD. Inc. on February 2, 1989. The hearing

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rickardo Plummer Claimant(s) NOTICE OP ARBITRATION vs. AWARD 89-00312 Paul Codispot-.i Respondent(s) CASE SUMMARY Claimant(s) Rickardo Plummer alleged that Respondent(s) Paul Codispoti did not execute Claimant's sell order at an agreed price. Respondent(s) denies liability since Claimant's securities are traded in negotiated market and the sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) RICHARD M. GOLDSTEIN & JEFFREY S. TANEN, ) TRUSTEE. GOLDSTEIN & TANNEN, P.A. PROFIT SHARING. } ) Claimants. ) ) Case /89-00309 vs. ) Award ) THOMSON MCKINNON SECURITIES. INC., ) Respondent. ) ) Heard before the members of the Arbitration Panel: Mr. Guthrie F. Crowe Ms. Judy Avey Mr. Terrence W. Grant CASE SUMMARY This cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Richard Tom Claimant ) vs. ) AWARD East/West Securities and Respondent ) CASE NO. 89-00303 Q&R Clearing Corp. ) SUMMARY OF ISSUES This case was filed on January 30, 1989. Claimant alleged Respondents East/West Securities ("EAST/WEST") were negligent when, after informing him of a margin call in his account, they failed to credit the checks he had de

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 89-00302 James T. Puglisi Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) James T. Fuglisi has an unpaid balance on his account with Claimant. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab 6 Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joan Dunlop Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Michael Moran Respondents CASE# 89-00301 AWARD a Ul In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1989, Claimant Joan Dunlop alleged the Respondents made material misrepresentations to the Claimant knowing they were false and om