FEB 28 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lucinda A. Antrim Matthew G. Cashin vs. Claimants Drexel Burnham Lambert, Inc. Robert G. Mennona Respondents AWARD #88-02921 Case Summary Claimants Lucinda A. Antrim and Matthew G. Cashin (hereinafter the "Claimant") alleged that Respondent Robert G. Mennona (hereinafter "Mennona"}, their registered representative, caused the Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gustav & Ooris Prekopa Claimant-s VS. Merrill Lynch, Pierce, Fenner & Smith, Inc., William H. Zufall & Donald W. Walsh, Jr. Respondents Case #88-02914 AWARD CASE SUMMARY Claimants Gustav & Doris Prekopa alleged Respondents failed to properly execute transactions in Claimants account in accordance with their instructions. Claimants further allege

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cowen & Co. Claimant(s) vs. 88-02908 Robin Foley Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(a) Cowen & Co. alleged that Respondent(s) Robin Foley converted funds not belonging to Foley for her own use. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Cowen & Co. requested damages of Ten Thousand Dollars and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) TED and SUSAN MALKASIAN, ) Claimants, } ) Case #88-02905 vs. ) Award ) FIDELITY BROKERAGE SERVICES. INC. ) and BARBARA GROSS, ) Respondents. ) ) Heard before the members of the Arbitration Panels Steven R. Reininger, Esq. John de Leon, Esq. S. Richard Savage CASE SUMMARY This claim was filed with the NASD, Inc. on September 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Vicki Lea Claimant vs. Piper, Jaffray & Hopwood and Mark and Trudi Ann Caron Respondent CASE NO. 88-02893 SUWARY OF ISSUES This case was filed on September 14, 1988. In a claim filed at the NASD Claimant Vicki Lea alleged that Respondents mishandled her stock portfolio from June, 1986 through the beginning of 1988. Claimant alleged that she was inte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between . } ) Stanley C. & Barbara M. Ingraharo, Claimants ) Trustees ) vs. ) AWARD KMS Financial Services, Inc., Respondents ) CASE NO. 88-02886 James E. Hill and James R. Hill ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 13, 1988. Claimants alleged the following: failure to execute sal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) CHARLES DILLON ) ) Claimant ) and ) ) CASE NO. 88-02881 LAIDLAW, ADAMS & PECK, INC. a/k/a KUHNS ) BROTHERS & LAIDLAW, INC. AND IRWIN M. ) GROSS ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on September 13, 1988, Claimant Charles Dillon ("Dillon") alleged that Respondent Irwin M. Gross ("Gross"), while a registered

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CAROLINE JANES TOOD Claimant ) and ) ) CASE NO. 88-02876 CRAIG-HALLUM, INC; AND ) BRUCE HENDRY , " .. ) Respondents ) CASE SUMMARY In a claim filed, with the NASD on September 13, 1988, Claimant Caroline Janes Todd. ("Claimant") alleged that Respondents Craig-Hallum, Inc. and Bruce Hendry (collectively as "Respondents") made an unauthorized

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02389 Akinyele Akinsanya and Bravada Garrett-Akinsanya, claimants vs. E*Trade Securities, Inc. respondent. ATTORNEYS: Claimants Akinyele Akinsanya and Bravada Garrett-Akinsanya (collectively "Claimants"), appeared Pro Se., Plymouth, MN. For Respondent E*Trade Securities, Inc. ("Respondent"), Robert W. Salvador of E*Trade Securities, Inc., Palo Alto, CA.

N.A.S.D. AWARD ® NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Joel Peterzell Charles Schwab & Company, inc. Warren Way Walton Lee Schieman Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 1 Ronda 333 ° 1 CASE f 88-02 86 8 Heard before the members of the Arbitration Panel: Janes R. Kenned/, Jr., Esq. David A. To