NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. and Roberta S. Primeau Claimant(s) vs. 88-03116 Dillon Securities, Inc. and Mary Pritzl Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant Edward J. & Roberta S. Primeau alleged that Respondent Dillon Securities, Inc. and Mary Pritzl misrepresented material facts concerning Claimant's investment with Respondent. Responde

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Hyman D. and Esther Burstein ClaiTnant(a) vs. 88-03115 Gliksman Securities Corp. & Harry Gliksman Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Hyman D. and Esther Burstein alleged that Respondent Gliksman Securities Corp. & Harry Gliksman manipulated and mismanaged their account. Respondents maintained that all orders to buy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Antonio J. Castro Claimant(s) vs. 88-03108 Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD This Notice supersedes the Notice of Arbitration award dated June 29, 1989. CASE SUMMARY Claimant Antonio J. Castro alleged that Respondent Charles Schwab & Co., Inc. sold Claimant's shares at prices below the requested stop-limi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the" Matter of the Arbitration Between Arnold G. Henrichsen Trust, Helen H. Vfells, Trustee 88-03101 of E.F. Button & Company, Inc. Heard before: Name Public/Industry George H. Speciale, Esq._ PUBLIC B. N. Meldrum PUBLIC Lyle Davis INDUSTRY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Octob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) ^J -- s 1 : >r : Catherine Ferrari • : i 88-0309 Name of 8/ Prudential-Bache Securities Inc. •' Joseph Ledgwich Barbara Sherman In a claim filed with the NASD on or about October 4, i3«L Catherine Ferrari ("Ferarri") alleged that Prudential-Bache Securities, IflfrV ("Pru- Bache"), Joseph Ledwidge

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of C!lalmarvt' 1 (g] Leonora Resnick CASE 188-03097 Margaretten Financial Group Ellen Margaretten Huierman Securities Corp. Michelin & Company, Inc. Paul E. Michelin In the Matter of the Arbitration Between Name o Ruth Rosen CASE #88-03835 of Resnondentfa) Len Margaretten Margaretten Financial Group Hubennan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dan Redrick Gladys R. Queen Claimants vs. Preston A. Spears Bay City Securities, Inc. Respondents AWARD #88-03094 Case Summary This proceeding was commenced by Don Redrick and Gladys R. Queen against Preston A. Spears and Bay City Securities, Inc. arising from the sale and purchase of certain securities during 1987. Claimant alleged that the R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Igor Vizelberg Case No. 99-02475 Names of Respondents Lakeside Trading a/k/a Russell Investment Thomas Griswold Russell J.B. Oxford & Company REPRESENTATION OF PARTIES For Claimant: Alan R. Sacks, Esq. of Sacks & Raines, New Orleans, LA. For Respondent J.B, Oxford & Company ("JBO"): Cynthia M. Schliendl, Esq. of Miller Milove & Kob, San Dieg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E, and Sophia S. Godfrey Claimant(3) vs, AWARD 88-03089 Bear Stearns & Co. and William Welsh Respondent(s) The Arbitrator, George R. Freund, 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 September 21, 1988 and D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between 1) Moses vs. Jefferson International Investment Company and Jeffrey Bohl (88-03088) 2) Brian Macdonell vs, Jefferson International Investment Company and Jeffrey Bohl (88-03335) 3) Betty Oavis vs. Jefferson International Investment Company and Jeffrey Bohl (88-03096) Claimant Respondent Claimant Respondent Claiman