NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elaine K. Thomas/ ) Anthony William Siadak/ ) Milton R. Tam ) Claimant ) ) AWARD vs. ) CONSOLIDATED ) CASES Shearson Lehman Hutton, Inc. ) NASD #89-00169 " Daniel Halligan ) 89-01.171 Bruce Kramer ) 89-01177 ) SUMMARY OF ISSUES Claimants each alleged that Respondents made fraudulent misrepresentations to them, breached their fidu

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hope Hassouni and Harum Hassouni c/f Daniel S. Hassouni Claimant(s) vs 89-00166 Greentree Securities Corp. and Charles Varrazano Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claitnant(s) Hope Hassouni and Harum Hassouni c/f Daniel S. Hassouni alleged that Respondent(s) Greentree Securities Corp. and Charles Varrazano made unauthorize

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald G. Sheppard 89-00163 A.G. Edwards & Sons, Inc. and Timothy L. Colen CAS aataas In a claim filed with the NASD on or about January 17, 1989 Ronald G. Sheppard ("Claimant") alleged that A.G. Edwards and Sons, Inc. and Timothy L. Colen (collectively "Respondents") misrepresented the status of an account held by Claimant with the Respondents

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John O'Malley Joetta O'Malley Claimants vs. Smith Barney Harris Upham & Co., Inc. Erwin (Skip) Moosher William Olson Respondents - CASE #89-00161 AWARD CASE SUMMARY Claimants John and Joetta O'Malley alleged Respondents recklessly rendered investment advice and failed to follow the Claimants' investment objectives and recommended and exe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Micheie Renee Angulo f./k/a Micheie Renee Williams McKenneth Williams Claimants vs. CASE* 89-00159 AWARD Merrill Lynch Pierce Fenner & Smith, Inc. Ginger Roberts Carson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1989 Claimant Micheie Renee Angulo, f/k/a Micheie Renee W

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Christopher H. Meakin, (Claimant) vs. Charles Schwab & Co., (Respondent). Case Number: 99-02554 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Christopher H. Meakin, hereinafter referred to as "Claimant": pro se, Austin, Texas. Respondent, Charles Schwab & Co., hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles Schwab & Co., San Francisco, Cal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Pamela Anne Houle Claimant ) ) vs. ) AWARD ) Thomson McKinnon Securities, Inc. Respondents ) CASE NO. 89-00157 and L. H. Westdahl ) SUMMARY OF ISSUES This case was filed on January 17, 1989. Claimant Pamela Anne Houle alleges that Respondent Thomson McKinnon Securities, Inc., through its representative L. H. Westdahl, mishandled Claimant's broke

NATIONAL ASSOCIATION OF SECURITIES DEALERS -n the Matter or the Arbitration Between Janet Procunier . . vs. Claimant(3) 89-00155 Prudential-Bache Securities, Inc. and Ernest Dill Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Janet Procunier alleged that Respondent{s) Prudential- Bache Securities, Inc. and Ernest Dill did not handle Claimant's account in a prudent manner. Respondent(s) maintain that their

Arbitration L ASSOCIATION OF SECURITIES DEALERS, IMC National Association of Securities Dealers. Inc. • 20th Floor • 10 South LaSalle Street • Chicaeo. IL 60603-1002 • 312-899-4440 FAX 312-236-9239 In the Matter of the Arbitration Between ) ) ROBERT AND ANNE WALTER ) ) Claimant ) and ) ) CASE NO. 89-00151 FITZGERALD TALMAN, INC. ) ) ) Respondent ) CASE SUMMARY In a Claim filed on or about January 6, 1989 the Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert Baker } Claimant ) ) Case No. 89-00150 and ) Award ) Shearson Lehman Mutton, Inc. ) Respondent ) CASE SUMMARY Claimant Robert Baker alleged that Respondent Shearson improperly liquidated 2,000 shares of Miniscribe Corporation stock in his margin account in November 1987. He also alleges misrepresentation and nondisclosure of the m