NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mayco L.A. Federal Credit Union Claimant ) vs. Barbara A. Mark ) Respondent ) AWARD CASE NO. 88-03605 Heard Before the Members of the Arbitration Panel Frank R. Smith Michael Strieby David N. Mahler SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 18, 1988. Claimant al

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Merrill Lynch Pierce Penner & Smith Claixoant(s) vs. 88-03601 William C. Allen, Jr. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Merrill Lynch Pierce Fenner 6 Smith alleged that Respondent William C. Allen, Jr. refused to pay for shares he purchased through his Merrill Lynch account. Respondent has not submitted an Answer or

N.A.S.D. REGULATION AWARD ASSOCIATION O ECURITIES DEALERS REGULATION. INC. CASE: 99-02532 Ai Bino, claimant vs. Merrill Lynch Pierce Fenner& Smith, Inc., Daniel Gottlieb, and William Reid, III, respondents. ATTORNEYS: Claimant Al Bino ("Claimant") appeared Pro Se., Sinking Spring, Pennsylvania. For Respondents Merrill Lynch Pierce Fenner & South, Inc. ("Merrill Lynch"), Daniel Gottlieb ("Gottlieb"), and William Reid, HI ("Reid") (collectively, "Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William W. Kelly, Trustee Claimant(s) vs. 88-03595 Thomas A. Butler Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant William W. Kelly, Trustee alleged that Thomas A. Butler delayed in executing an order resulting in financial loss. Respondent maintains that there was no delay and that the order date in the Claimant's claim is incorr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Gustav and Letty J. Gustav Claimant(s) vs. 88-03594 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AWARD SUPERCEDES THE NOTICE OF ARBITRATION AWARD DATED FEBRUARY 16, 1990 CASE SUMMARY Claimant(s) Robert Gustav and Letty J. Gustav alleged that Respondent(s) Merril

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Glenn White Claimant ) Award vs. ) CASE NO. 88-03591 Amerimutual Corporation Respondent ) SUWARY OF ISSUES This claim was filed on November 18, 1988. Claimant alleged the following: failure to execute an order to sell securities in Guiness Capital Funding, Inc., as well as misrepresentation with respect to its purchase. Respondent did not file a submissio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sue Allen Claimant vs. Shearson Lehman Hutton, Inc. Gregory Baker Respondents CASE #86-03589 AWARD CASE SUMMARY Claimant Dale Sue Allen (hereinafter "Claimant") alleged that Respondent Gregory Baker (hereinafter "Baker") convinced Claimant to purchase 500 shares of Computerized Buying Network, Inc. (hereinafter "CENT) at 5 3/4 through vario

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dorothy C. Bates Claimant vs. PaineWebber, Inc. Respondent AWARD #88-03584 Case Summary This proceeding was commenced by the Claimant Dorothy C. Bates against the Respondent PaineWebber, Inc. arising from certain transactions in the Claimant's account during the period of 1985 to 1987. Ms. Bates alleged that the Respondent PaineWebber, Inc. through it

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter oftne Arbitration Between Daniel J. and Janet M. Alessio vs. PaineHebber, Inc. Claimants Respondent CASE #88-03582 AWARD CASE SUMMARY Claimants contend that Respondent exercised poor judgment and incompetence in directing their account during the period of June, 1987 through October, 1987, specifically by engaging in unauthorized trading and by excessively concentrating C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Howard J. Adolph Claimant(s) vs. Smith Barney, Harris Upham & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03580 CASE SUMMARY Claimant(s) Howard J. Adolph alleged that Respondent(s) Smith Barney, Harris Upham & Co., Inc. failed to cancel an open order to purchase stock. Respondent(s) maintain that Claimant did not inform Respondent t