N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beverly Langdon 88-03757 Name of Respondents Merrill Lynch, Pierce, Fenner 4 Smith, Inc. Donald Lillie CASE SUMMARY Claimant Beverly Langdon ("Langdon"}, alleged that the Respondents', Merrill Lynch, Pierce, Fenner & smith, Inc. ("Merrill Lynch") and Donald Lillie ("Lillie"), recommendation that she purchase LTV stock w

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J. Lerz Claimant(s) vs. 88-03756 Stuart-James Co., Steve Cruise and Rich Frueh Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Richard J. Lerz alleged that Respondents Stuart-James Co., Steve Cruise and Rich Frueh incorrectly executed sell orders which resulted in financial loss. Respondents maintain that Claimant place

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Leonard & Florence Furman Claimants vs. Prescott, Ball & Turben, Inc. Richard Simmer Warren Bruce Respondents AWARD #88-03755 Case Summary Claimants Leonard and Florence Furman (hereinafter the "Claimants") alleged that the Respondents Prescott, Ball & Turben, Inc., Richard Simmer and Warren Bruce (hereinafter the "Respondents") placed unauthoriz

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John F. Thatcher Claimant(s) vs. 88-03751 PaineWebber, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John F. Thatcher alleged that Respondent(s) PaineWebber, Inc. committed unauthorized trading. Respondents) maintain that Claimant was aware of and ordered the trades committed. RELIEF REQUESTED Claimant(s) John F.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between BARRY G. HUNNEWELL, ) Claimant ) and ) ) CASE NO. 88-03748 SMITH BARNEY HARRIS UPHAM & CO., INC. ) AND LAWRENCE J. CANAVAN, Respondents CASE SUMMARY Barry G. Hunnewell ("Claimant") alleges that Smith Barney Harris Upham & Co., Inc. ("Respondent SBHU") and Lawrence J. Canavan ("Respondent Canavan") (sometimes collectively referred to as "Responde

Awara NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wai Procter Case No. 99-02367 Names of Respondents A,G. Edwards & Sons, Inc. David H. Gilchrist Christopher M. Cole Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Wai Procter ("Procter"), hereinafter referred to as "Claimant": Kenneth D. Haynes, Esq. of Haynes & Haynes, P.C., Birmingham, Alabama. For Respondents A.G. Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James Earl Grace Clairaant(s) vs. 88-03744 Blinder, Robinson & Co., Inc. and Joseph S. Finn Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James Earl Grace alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Joseph S. Finn failed to execute a requested transaction in Claimant's account. Respondent(s) deny Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DAVID SULLIVAN. ) Claimant, ) ) Case *88-037fc2 vs. ) Award F. B. ROBERTS SECURITIES, INC., PHILIP ) NAPOLITON III and ROBERT HUMPHREY. ) Respondents. ) Heard before the members of the Arbitration Panel: Louise T. Jeroslow, Esq. Michael A. Coco George L. Davis CASE SUMMARY This claim was filed with the NASD. Inc. on December 5, 1988. The h

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Karen and Robert Brilliant IRA Claimant(s) vs. 88-03736 Drexel Burnham Lambert Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Karen and Robert Brilliant IRA alleged that Respondent(s) Drexel Burnham Lambert failed to execute an order at the correct price. Respondent categorically denied any wrongdoing or liability to Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John and Rose Ferrera, Claimants vs. Case #88-03735 Award Prudential-Bache Securities, and Richard Sarro, ) Respondents ) ) CASE SUMMARY Claimants allege that Respondents without authorization liquidated their portfolio which was transferred from another brokerage firm, purchased new positions, and placed them on margin. Claimants furthe