NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. 88-02797 Lisa M. Maley Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Lisa M. Maley owes Claimant for securities purchased on Respondent's behalf. Respondent did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., In

NATXONAX. ASSOCIATION OF SBCURITIBS DEALERS, INC. la the Mattsr of the Arbitration B«tw«*a ) QUS AND MARIA STAVROPOULES , JAMBS AND MART ) PBITE, WOLVERINE CARBIDE DIE COMPANY AND ) ITS EMPLOYEES PROFIT SHARING TRUST ) ) CONSOLIDATED Claimant («) ) CASK NOS. 88-00820, and ) 8S-OOM2, £ ) SS-0279« LAWRENCE D. BIRNBATJM AND BEAR ) STEARNS ft CO., INC. > tespoadsnt(B) ) James and Mary Pulte, Qua and Karia Stavropoules, Wolverine carbide

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between JAMES H. HARRINGTON, JR. V. DEAN WITTER REYNOLDS, ALBERT O'NEAL Claimant INC. Respondents ) ) ) ) NASD No. 88-02791 CASE StttfKRY This claim was filed on August 29, 1988 and amended February 23, 1989 and October 23, 1989. The claim originally named S. Erik Johnston "Johnston" as a respondent but his bankruptcy filing resulted in an a

NATIONAL ASSOCIATION OF SECURITIES DEALERS^IWL IN THE MATTER OF THE ARBITRATION BETWEEN T. Scott Richter, individually and as a for the Sprayberry Animal Hospital Pension Trust... Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. John F. Fisher Respondents Case #88-02790 AWARD CASE SUMMARY This proceeding was commenced initially on August 30, 1988 by Claimants T. Scott Richter individually and as Trustee for the Sprayberr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) B. CONNER JOHNSON AND HALINA V. JOHNSON, ) Claimants ) and ) ) CASE NO. 88-02786 NICK VALENTINO, ) Respondent ) CASE SUMMARY B. Conner Johnson and Halina V. Johnson ("Claimants") allege that Nick Valentino ("Respondent") mismanaged and purchased unsuitable investments for Claimant's account. Specifically, Claimant alleges that inherited investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa A. & Jerrold D. Bernard Claimant(s) vs. Individuals Securities, Inc. & Greg Zelco Respondent(s) AWARD 88-02784 The Arbitrator, John W. Jerak, 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 on claimant on Augus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles K. and Palmira A. Napoleon, ) Claimant ) Case #88-02775 ) vs. ) Award ) Shearson Lehman Mutton, Inc., ) ) Respondent ) CASE SUMMARY Claimants allege that they told Gary Arnold, the registered representative with Respondent brokerage firm that they wished to convert their government securities accounts, which were valued at $77,00

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert G. Neuhauser Claimant vs. Case #88-02767 Shearson Asset Management, Inc. Respondent (s ) Case Sumaary Claimant, Robert G. Neuhauser, alleged Respondent, Shearson Asset Management, Inc. breached its contractual and fiduciary duty to follow Claimant's instructions not to invest Claimant's funds of $200,000.00 until after the occurrence of a major m

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Harvey and Violet Kaplan Family Limited Partnership and 99-02381 Scottsdale, Arizona Name of Respondents Sutro & Co., Incorporated Mark Horace Love REPRESENTATION OF PARTIES The Harvey and Violet Kaplan Family Limited Partnership ("Claimant") was represented by Thomas M. Pace, Esq., Tucson, Arizona. Sutro & Co., Incorporated ("Respondent Sutro")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert H. Klepner Claimant AWARD vs. #88-02765 Shearson Lehman Hutton, Inc. Respondent ***************************************************** CASE SUMMARY Claimant Robert H. Klepner alleged negligence and unauthorized trading by asserting that Respondent Shearson Lehman Hutton, Inc. failed to follow his instructions and purchase 500 shares of a bank stock kn