NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elliott and DeAnna K. Kanarek, ) Claimants, ) ) Case J88-03705 vs. ) Award Prudential-Bache Securities Inc. and ) George P. Vescio. ) Respondents. ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Meah Dell Rothman Tell. Esq. Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD. Inc. on Dece

RATIONAL ASSOCIATIOH OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ELIZABETH THIBODEAUX, } Claimant. ) ) Case 188-03703 vs. ) Award ) MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and ) GEORGE HELM ) Respondents. ) ) Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on December 1. 1988. The hearing was conducted in Tamp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert W. Liewald and Carol Liewald vs. R.C. Stairan & Co., Inc., J.T. Moran & Co., Inc., and Ann Marie Barone Claimant(s) Respondent(s) NOTICE OF ARBITRATION AWARD 88-03702 CASE SUMMARY Claimant(s) Robert W. Liewald and Carol Liewald alleged that Respondent(s) R.C. Stamm & Co., Inc., J.T. Moran & Co., Inc., and Ann Marie Barone erroneousl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name nf Claimant Everen Securities Case No. 99-02369 Name nf Respondent Russ L. Johnson REPRESENTATION OF PARTIFS Claimant Everen Securities, Inc. ("Everen") was represented by Stephen S. Berkeley, Esq., of Kane & Fischer, Ltd., located in Chicago, Illinois. Respondent Russ L. Johnson ("Johnson") did not appear. TASF. INFORMATTON Statement of Claim filed on

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 00-01003 Mitzi Suzanne Pasch, Claimant vs. Rogers & Co., LLC/Corporate Securities Group, d/b/a JWGenesis, Carol Lynn Rogers and Kathryn Goossens, Respondents. ATTORNEYS: Claimant, Mitzi Suzanne Pasch, ("Claimant"), appeared Pro Se,, Chesterfield, MO. For Respondent, JWGenesis Financial Services, Inc., ("JWGenesis"), appeared in-house counsel, Charles E. Scarlett, Esq., Boca Raton, FL.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Philip Michael Zrike, III, Claimant vs. Hutchinson Financial Corporation and Mark Maienfant, Case #88-03701 Award Respondents ) CASE SUMMARY Claimant filed the above-captioned matter for arbitration on December 1, 1988. In his claim he alleged that Respondent, Mark Malenfant, failed to execute two orders: the first order was to sell 2,000 shares o

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Edmond and Etna E. Spires, ) Claimants, ) ) Case 188-02363 vs. ) Award ) Merrill Lynch. Pierce, Fenner & Smith, Inc., ) ) Respondents. ) Heard before the members of the Arbitration Panel: George S. Coit Jr., Esq. Mr. Roger C. Benson Mr. Andrew Fellios CASE SUMMARY This claim was filed with the NASD. Inc. on July 25, 1988. The hearing

•NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Merrill Lynch Pierce Fenner ) & Smith, Inc. ) Claimant ) ) Case #88-02358 vs. ) Award ) James E. Turner ) Donna Turner ) Respondents ) On April 7 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Merrill Lynch Pierce Fenner & Smith, Inc. on July

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Audrey J. Rasmussen Claimants ) Award Maxwell W. Rasmussen, Trustees ) vs. ) CASE NO. 88-02357 Shearson Lehman Hutton, Inc. Respondents ) Lewis 0. Tenzer ) SUWARY OF ISSUES This case was filed on July 22, 1988. Claimant alleged the following: Excessive and unsuitable trading of their account by respondents, and an unauthorized purchase of 5,000 shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ! In The Matter of The Arbitration Between Award NASD No. ?>< & -o37k> ClaimantCC vs. Respondent(S3 ) 4 Ouiss-Cjleuuvw.a< «of7 ) SUMMARY OF ISSUES This case was filed atf JM \ 4A. 4-t^L. MflST) ev. < !-L(iA4A < LjJ*s\ to AAlaua TO DAMAGES AND RELIEF REQUESTED * - n fc OOP i O^V^d. On DAMAGES AND RELIEF AWARDED MX.fi- I the undersigned