NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. ) ) Claimant ) and ) ) CASE NO. 88-03559 CHARLES BOILES ) ) Respondent ) ) CASE SUMMARY In a claim filed with the NASD on November 11, 1988, Claimant PaineWebber, Inc. ("PaineWebber") alleges that Respondent Charles Boiles incurred a debit balance in the amount of $5,013.37 in his account as a consequence of placin

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joyce E. & John H. Drewanz Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith/ Inc. and William T. Emory Respondent(s) NOTICE OF ARBITRATION AWARD 88-03556 CASE SUMMARY Claimant Joyce E. & John H. Drewanz alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. and William T. Emory improperly executed an order. Respondents mainta

H.A.3.D. NAHCKBVL ASSOdAXICN OF SBCDRTTIES DEALERS la the Matter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Harold W. Steele, Marcia Steele and Ruth Wood, tzustees for B.S. Die & Engineering, Inc. Profit Sharing Plan and Trust Harna of Raspoadents E.P. Button & Ccnpany, Inc. Shearson Tiftfinan Brothers, Inc. 88-

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert L. Schneider and Barbara Schneider Claimants vs. Case #88-03551 AWARD Shearson Lehman Mutton, Inc. and Sheryl Steinhart Respondents CASE SUWARY In a case filed with the National Association of Securities Dealers, Inc. on November 14, 1988 Claimants, Robert L. and Barbara Schneider alleged Respondents invested their funds into a real e

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Randall C. Reading, Claimant v. E*Trade, Inc., Respondent Case Number: 99-02523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Randall C. Reading: Randall C. Reading In Pro Per Redlands, California For Respondent E*Trade, Inc.: Thomas V. Reichert, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond C. Cullen III Claimant(s) vs. 88-03546 Eastern Capital Securities, Inc., Steven Schwartz and Wall Street Clearing Co. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Raymond C. Cullen III alleged that Respondent Eastern Capital Securities, Inc., Steven Schwartz and Wall Street Clearing Co. made misrepresentations and so

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) James H. OeVoe Claimant ) ) AWARD ) vs. ) CASE NO. 88-03544 ) P.B. Jameson Co., Inc. Respondent ) ) SUWARY OF ISSUES This case was filed on Nov. 14, 1988. Claimant alleges that mishandling and delays in delivery of stock certificates purchased by Claimant from Respondent resulted in losses due to Claimant's inability to sell at a favorab

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tfatter of the Arbitration Between ) Name of Claimant:(s) ) Sally H. Kofman ) ) Case No. 89-03539 ) Dean Witter Reynolds, Inc. ) Robert R. Wachholder ) Heard, before the members of the Arbitration Panel: Casey W. Hills, Esq. Arnold Sarrow Edward S. Boslow III CASE SUMMARY This claims was filed with the NASD, Inc. on December 18, 1989. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kathleen W. Edgell Claimant vs. Carole Haynes First Potomac Securities, Corp. Swan Securities, Inc. Securities Settlement Corp. Respondents AWARD #88-03538 Case Summary This proceeding was commenced by the Claimant Kathleen W. Edgell {"Edgell") against the Respondents Carole Haynes ("Haynes"), First Potomac Securities, Corp. ("First Potomac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert J. Jaske Claimant(s) vs. Griffin Financial Services Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Robert J. Jaske alleged that Respondent Griffin Financial Services delayed in transferring Claimants funds pursuant to a sale of shares and when the transfer was implemented, the wrong amount was credited to Claimant's account. Re