DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN James E. & Margaret J. Shrader Clainiants vs. The Pinnacle Group, Lee Folger III and J.C. Bradford & Company Respondents Case #88-03182 AWARD Claimants James E. & Margaretxf. Shrader ("Claimants") alleged that Respondents The Pinnacle Group, IncX("Pinnacle") and Lee Folger III ("Folger") failed to follow Claimant James Sfefader's instructions and executed unauthorized transaction

N.A.S.D. AWARD NKL-IONRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Merrill Lynch Pierce Fenner & Smith, Inc. 88-03178 Gary E. Bullock Valuta V. Bullock In a claim filed with the National Association of Securities Dealers r Inc. ("NASD") on or about October 14, 1988, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. alleged that Respondent Gary B. Bullock and Valoa V. Bullock purchased common st

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Owen J. McEnaney Claimant Case #88-03173 vs. Douglas J. Ferrigno & WZW Financial Services, Inc. O.R. Securities, Inc. and Stein, Abbott & Co. Respondents AWARD CASE SUMMARY Claimant, Owen J. McEnaney alleged he informed Respondent, Douglas J. Ferrigno he had no knowledge or ability to make investment decisions and that Respondents invested h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mollie Lustman Claimant(s) vs. 88-03172 Larry Wolcott Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Mollie Lustman alleged that Respondent Larry Wolcott mishandled her account. Additionally Mollie Lustman alleged that Larry Wolcott never sold her stock in December 1987. RELIEF REQUESTED Claimant Mollie Lustman requested damag

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank A. and Zella W. Smith Claimant(s) vs. 88-03170 John Crofton and Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank A. and Zella W. Smith alleged that Respondent(s) John Crofton and Quick & Reilly, Inc. failed to execute a trade. Respondent(s) maintain that all losses Claimant incurred were a res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert L. Martin, Claimant v. Bear Stearns & Company, Inc., Respondent Case Number: 99-02479 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael A. Lotman, Esq. Law Offices of Michael A. Lotman Los Angeles, California For Respondent: Dale F. Kinsella, Esq. and Michael J. Kump, Esq. Kensella, Boesch, Fujikawa & Towle, LLP Lo

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Curtis R. Autrey Claimant{s) vs. 88-03155 Capital First Securities, Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Curtis R. Autrey alleged that Respondent(s) Capital First Securities, Inc. sold securities not registered in Texas. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Curtis R. A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Ors. Kutumbarao & Lakshmi Vemulapalli, ) ) Claimants ) Case 488-03151 ) vs. ) Award Fidelity Brokerage Services, Inc., Respondent CASE SUMMARY Claimants allege that Respondent breached its fiduciary duty to them when it failed to timely notify them of the status of an order to sell Nov 320 puts at 135 which was placed on October 19, 1987, an

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen Luchka Mary Luchka Claimants vs. Advest, Inc. Seymour Klein Respondents CASE #88-03150 ORDER Case Summary Claimants assert Respondents made unsuitable margin investments which resulted in losses in October 1987. Respondents deny the allegations and assert that Claimants retained and exercised sole authority to authorize purchase

J. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Claimants vs. Respondents ) Award ) NASD I ) SUMMARY OF ISSUES This case was filed on . CloiiwojJ- cULUn -— 0)0* -JnJVLfdaJ IAAJ!^ CJOHulati t/Wtrr/yi < xAr>0 oath. / DAMAGES AND RELIEF REQUESTED a A&fusJ. tJ -Mis iAAi/ntir. > fl Ai'mruc nt -/€ 77 -A te DAMAGES AND RELIEF AWARDED On LLLgui