NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PHYLLIS A. MAHER, vs. F. N. WOLF & CO., INC., SHARON L. JOHNSON, FRANKLIN WOLF. ROCHELLE WOHL. Claimant, Respondents. Case 188-03941 Award Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Ms. Judy Avey Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on December 27, 1988. The

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) EKKEHARO SAHM ) Claimant(s) ) and ) ) CASE NO. 88-03939 R. B. MARICH, INC. ) Respondent (s) CASE SUMMARY Ekkehard Sahm ("Claimant") alleged that R. B. Marich, Inc. ("Respondent") made certain misrepresentations to the Claimant in order to induce the Claimant to make a $125,000 bridge loan to ACSI in order to help facilitate a merger between AC

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank P. Taulli Claimant(s) vs. Paul J. Scholtes Respondents) NOTICE OF ARBITRATION AWARD 88-03938 CASE SUMMARY Claimant Frank P. Taulli alleged that Respondent Paul J. Scholtes failed to execute a sell order in a timely manner. Respondent maintains that claimant did not tell him to sell his stock but to wait and see if he could get a higher price

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeanette T. Ella Claimant(s) vs. Mike Cooper & Merrill Lynch Pierce Fenner & Smith Inc. Respondent(s) AWARD 88-03935 The Arbitrator, George R. Freund, having been 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. And, that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jeffrey R. Miller, Executor Claimant ) of the Estate of Esther Miller ) and Rory A. Miller ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 88-03933 and Andrew Tse ) SUMMARY OF ISSUES This case was filed on December 27, 1988. Claimant Jeffrey R. Miller alleges that his deceased mother's account was transferred from a Gover

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02387 Paine Webber Incorporated, claimant vs. Christopher Delzio, respondent. ATTORNEYS: For Claimant PaineWebber Incorporated ("Claimant"), Romaine L. Gardner, Esq., Staten Island, New York. Respondent Christopher Delzio ("Respondent"), appeared Pro Se., Wichita, Kansas. DATE FILED: 5/24/1999 CASE SUMMARY: Claimant alleged that on September 8, 1993, it is

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between HHHam H. Fountain Claimant vs. Prudential-Bache Securities, Inc. Respondents Slenn Holderreed CASE NO. 85-03931 Heard before: Marcus E. Gracla, Jr. Owen Guinn Smith Edward H. Sanborn, IV S1MWY OF ISSUES This case was Hied on December 27, 1968. Claimant alleged negligence, misrepresentation, breach of contract, breach of fiduciary duty, failu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan Jereski Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Norman Rockoff Respondents CASE 188-03928 AWARD CASE SUWARY Claimant, Susan Jereski, alleges that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Norman Rockoff, breached their fiduciary duty to her, violated Sections 7 and lOb of the Securities and Exchange Act

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gulfstream Airlines, Inc., Claimant ) Case #88-03926 vs. ) Award Charles Schwab & Co., Respondent CASE SUMMARY Claimant alleged that Respondent executed an order to sell 200 shares of Zayre Corp. stock at a lower price than what was initially confirmed. Claimant further alleged that Respondent sold out options in various stocks without notifying the Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Schiffbauer, Jr. Claimant(s) vs. 88-03923 Thomson McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) John R. Schiffbauer, Jr. alleged that Respondent(s) Thomson McKinnon Securities, Inc. misrepresented material facts with respect to Claimant's account held with Respondent. Respondent(s) denies