NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Anthony P. Gigliotti Claimant vs. Blinder Robinson & Co., Inc. Respondent vs. Earl Smith Third-Party Respondent Case # 88-03359 AWARD CASE SUTMARY Claimant Anthony P. Gigliotti alleged that Respondent Earl Smith, a former employee of Respondent Blinder Robinson & Co., Inc., coerced him to purchase stock in Entertrac, Inc. through hig

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 1 Karl R. Zimmer Claimant(s) vs. 88-03358 Beuret & Co. Ltd., Frank J. Zangara and John Haese Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Karl R. Zimmer alleged that Respondent Beuret & Co. Ltd., Frank J. Zangara and John Haese failed to execute a sell order. Respondent Haese denied all allegations. All other Respondents did

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Tenny J. Ryan Claimants ) vs. CASE NO. 88-03357 Kennedy, Cabot and Company Respondent ) SUWARY OF ISSUES Claimant filed this claim with the NASD on October 1, 1988 and alleged that Respondent failed to execute three sell orders placed at the market on October 20, 1987 and filaed to advise Claimant in a timely manner a report of nothing done. Specifically,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) PERCIVAL AND SUSAN TION6SON ) Claimant(s) ) Case No. 88-03467 and ) THOMSON MCKINNON SECURITIES, INC. AND GARY DOMKE Respondent (s) ) ) ) ) ) CASE SUMMARY In a claim filed with the NASD on or about November 8, 1988, Claimants Percival and Susan Tiongson, ("Claimants") alleged that Respondents Thomson McKinnon Securities, Inc. (

NATIQHAl ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03466 AWARD In the Matter of the Arbitration Between Steven J. Morris and Vlckl S. Morris Claimants vs. Charles Schwab & Company, Inc. Respondent CASE SUMMARY This proceeding was commenced initially on November 7, 1988 by Claimants Steven J. and V1cki S. Morris against Respondent Charles Schwab & Company, Inc. ("Schwab") and arises out of certain accounts held by Claimants from

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JOAN & JOSEPHINE QUACKENBUSH ) Claimant ) and ) )CASE NO. 88-03463 DEAN WITTER REYNOLDS, INC., ) PRUDENTIAL BACHE SECURITIES, INC., ) WILLIAM J. SADLER ) Respondents ) CASE SUMMARY Joan and Josephine Quackenbush ("Claimants") allege that Dean Witter Reynolds, Inc. ("Respondent Witter"), Prudential Bache Securities,Inc. ("Respondent Pru-Bach

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bette Hartog Claimant ) vs. ) CASE NO. 88-03462 ) Shearson Lehman Mutton, Inc. Respondents and Colleen Knerr SUWARY OF ISSUES Claimant filed this claim with the NASD on November 7, 1988 and alleged that the recommended investments including two limited partnerships, a real estate syndication, high yielding utility stocks, mutual funds and investment t

4 9 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Redwing Robin Limited Partnership vs. CASE 99-02504 Name of Respondents Southern Financial Group, Inc. Barton Clay Mercer REPRESENTATION Claimant, Redwing Robin Limited Partnership, hereinafter referred to as "Claimant": William S. Watts, Springfield, Virginia Respondent, Southern Financial Group, Inc. ("Southern"): Russell L. Forkey, Esq.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Newmarkets Limited Claimant(s) vs. Stover Glass & Co. Respondent(s) NOTICE OF ARBITRATION AWARD 88-3460 The Arbitrator, Gerald Thomas Grady, Jr., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on November 1, 1988 and January 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Saeid Hariri Claimant vs. First Affiliated Securities, Inc. Respondent ) ) Award CASE NO. 88-03457 SUMMARY OF ISSUES This claim was filed on November 4, 1988. Claimant alleged: failure to transfer account from First Affiliated Securities, Inc. (FAS) to Pacific Brokerage Service (PBS) on April 20, 1988, failure to sell securities on May 3, 1988, fail