NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant(s) ) vs. ) CASE NO. 88-02865 Stephen Bergman and Kimberly Bergman Respondent(s) ) \ Heard Before the Members of the Arbitration Panel: Walter P. Hitchcock James M.Knowles Robert I. Recker SUMMARY OF ISSUES Claimant alleged that Respondents entered into a written agreement wherein Respondents opened a cash, m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth D. Fly Claimant(s) vs. Arch Martin Respondent(s) NOTICE OF ARBITRATION AWARD 88-03031 CASE SUMMARY Claimant(s) Kenneth D. Fly alleged that Respondent(s) Arch Martin sold shares at an excessive loss. Respondent(s) denied all allegations. RELIEF REQUESTED Claimant(s) Kenneth D. Fly requested damages of Two Thousand One Hundred Forty

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pejsach Fruchtenberg Claimant vs. Shearson Lehman Hutton, Inc. Respondent AWARD 188-03026 Case Summary Claimant states that Respondent failed to follow instructions on a bond order as to the amount purchased. He seeks dismissal of the full amounts sought in a counterclaim. Shearson counterclaims for the amount resulting from the liquidation of the bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harold R. Fox, ) Claimant. ) ) Case /-88-030U vs. ) Award Easter Kramer Group Securities, Inc. ) Charles R. Hilbun, ) Respondents. ) Heard before the members of the Arbitration Panel: Bruce J. Herman, Esq. Mr. Frank J. McCormack Mr. Jack Harris CASE SUMMARY This claim was filed with the NASD, Inc. on September 26, 1988. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. } AWARD The Spokane Police Beneficial Association Claimant ) a Washington Corporation ) ) CASE #88-03013 vs. ) Alan Kominz, an individual, Kominz Respondent ) Company Securities, Inc., Kominz Company ) Government Securities, Inc. and Richardson ) Greenshields Securities, Inc. ) SUMMARY OF ISSUES This case was filed on September 26, 1988. Claimant, The Spokane Police Beneficial Associat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph T. Sobeck and Lena Sobeck Claimant(s) vs. First interregional Equity Corp. and Richard Eller Respondent(s) AWARD 88-03009 The Arbitrator, Thomas J. Hawekotte, Esq., 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

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Radey & Associates, P.A. Claimant vs. Case 188-03007 Balanced Security Programs, Inc. The Benefit Consultants Group Respondents (s ) Case Summary Claimant, Radey & Associates, P. A. alleges that the Res- pondent, Balanced Security Programs, Inc., negligently recom- mended that the Claimant purchase promissory notes Issued by Nashua Trust Company, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. Schmidt Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-03004 CASE SUMMARY Claimant(s) William J. Schmidt alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. did not give Claimant enough information to make an intelligent choice about an investment. Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Marguerite N. Neid ) Claimant(s) ) Case No. 88-03812 and ) John Bruso and Jsir.es Freeman Respondent(s) CASE SUMMARY Marguerite N. Neid ("Claimant") alleged that John Bruso and James Freeman ("Respondents") recommended to her the purchase of six investments which were unsuitable for her given her investment objectives of preservation of capit

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Glen Kohr and Eunice Kohr, Trustees of the Glen E & Eunice N. Kohr Living Trust and 99-02449 Kansas City, Missouri Name of Respondents American Heartland Investments, Inc. Robert L. Hamman REPRESENTATION OF PARTIES Glen Kohr and Eunice Kohr, Trustees of the Glen E & Eunice N. Kohr Living Trust ("Claimant") was represented by Larry G. Michel, Esq., K