NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between June C. and Edward S. Chlan Claimant(s) vs. Stephen S. Duklewski, Jr. Respondent(s) NOTICE OF ARBITRATION AWARD 89-00300 CASE SUMMARY Claimant(s) June C. and Edward S. Chlan alleged that Respondent(s) Stephen S. Duklewski, Jr. owes them interest on their account balance. Respondent (s) maintain that interest was legitimately held per PaineWebber i

MAR 19 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Warren J. Moore vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Case Summary AWARD #89-00291 Claimant Warren J. Moore (hereinafter "Claimant") alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. ,(hereinafter "Respondent") committed gross negligence in its failure to supervise the activities of Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) EDWARD B. AND BETTIE L. BOYER, ) Claimants, ) CASE 169-00286 ) AWARD vs. ) MERRILL LYNCH. PIERCE. FENNER fc } SMITH. INC. and JOHN C. NEWSOM. } Respondents, ) Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Mr. Paul Roquet Ms. Barbara Dinaburg CASE SUMMARY This claim was filed with the NASD. Inc. on January 3

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles F. Roberts Claimant(s) ARBITRATION vs. AWARD 89-00283 Rosemary Grady and Amerimutual Corp. Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Charles F, Roberts alleged that Respondent(s) Rosemary Grady and Amerimutual Corp. sold shares of stock for less than the price quoted. Respondent(s) did not respond. RELIEF REQUESTED Claimant(

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nihad Owaid as custodian for Amanda Owaid and Oliver Owaid, (Claimants) vs. Merrill Lynch, Pierce, Fermer & Smith, Inc. and Sammy M. Barsa, (Respondents) Case Number: 99-02564 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nihad Owaid as custodian for Amanda Owaid and Oliver Owaid, hereinafter referred to as "Claimant": Richard C. Hochman, Esq., a sole pr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John B. Herrick Claimant(s) vs. Integrated Resources Equity Corp. and Len Clark Respondent(s) NOTICE OF ARBITRATION AWARD 89-00282 CASE SUMMARY Claimant(s) John B. Herrick alleged that Respondent(s) Integrated Resources Equity Corp. and Len Clark failed to adequately disclose the fees associated with a recommended market timing service. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey and Kathy Dobson Claimant(s) vs. 89-00281 Amerimutual Corp./ Rosemary Grady, Peter Valdez, Robert Oiodato and Guiness Capital Funding Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Jeffrey and Kathy Dobson alleged that Respondent(s) Amerimutual Corp., Rosemary Grady, Peter Valdez, Robert Diodato and Guineas capi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen 0. and Margie K. Thomas Claimant(s) vs. 89-00279 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Stephen O. and Margie K. Thomas alleged that Respondent Dean Witter Reynolds, Inc. failed to timely execute an order to sell which resulted in Claimants' monetary loss. Respondent denies all allega

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Georoene Troffer Claimant ) ) vs. ) AWARD ) Richard Landreau, Vincent Saar Respondents ) CASE NO. 89-00274 and Anchor National Financial ) Services, Inc. ) SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 1, 1989. Claimant Georgene Troffer alleged that Respondents Richard Lan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co,, Inc. Claimant(s) vs 89-00268 Dana M. Hogan and Robyn M. Hogan Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Oana M. Hogan and Robyn M. Hogan have not paid Claimant for money owed on a trade executed by Claimant upon a trade ordered by Respondent. R