N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the .Matter of the Arbitration Between Name of Gregory James Hirte 88-02519 '**' -* -*• Name of Respondent's). Merrill Lynch, Pierce, Fenner & Smith j Bruce Grace " " *•-—- Jane Doe Grace This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 9> 1988 and clarified and supplemented March 18, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John Sabatini and Quinta Sabatini Claimants vs. ) Case #88-02516 Award USAA-Brokerage Services David Miller Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions to arbitration signed by the Claimants on August 4,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maureen Hourigan Quattrocchi Claimant(s) vs. 88-02515 Diversified Equities Corp. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Maureen Hourigan Quattrocchi alleged that Respondent Diversified Equities Corp. failed to fulfill her sellorder and the price of the stock dropped. Respondent maintains that Respondent does not defend.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(a) vs, 88-02512 Thomas Stubbs Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Thomas Stubbs failed to make payment due in his account. Respondent(s) did not respond. RELIEF REQUESTED Claimant(s) Charles Schwab & Co., Inc. requested dama

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) FRANK D. FOIL, ) Claimant, ) ) Case 188-02507 vs. ) Award > PAINEWEBBER, INC., RICHARD DELSONTRO and ) F. OTTO BUSOT, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Mr. Arieh Leo Douer Mr. Harry Polansky Mr. Douglas Delanoy, Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on August 8, 1988. Th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wi11iam Schroeter Rosemarie Tort vs. Claimants Philips, Appel & Walden, Inc. Richard Tort Respondents AWARD #88-02501 Case Summary Claimants alleged that Respondents placed the Claimants in unsuitable securities without regard to their investment experience and financial resources. Claimants further alleged that the securities purchased and traded

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ELIZABETH MENTE ) Claimant ) AWARD v. ) NASD NO. 88-02499 PRUDENTIAL-BACHE SECURITIES, INC. ) and WILLIAM SADLER ) Respondents ) On May 23, 1989 and April 28, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on July 30, 1988 by Claimant Elizabeth Mente, on September 8, 1988 by Cha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Matter of the Arbitration Between Charles Schwab, Inc. Claimant(s) and Norman J. Yentzen, Jr. Respondent (s) ) AWARD ) Case No. 88-02496 CASE SUMMARY Charles Schwab & Company ("Claimant") alleged that Norman Yentzen ("Respondent") owes the Claimant certain amounts for a debit balance which resulted when Claimant was forced to liquidate the Respondent's account to cover a d

NATIONS ASSOCIATION OF SECURITIES DEALERS, INC. Stauffco, Inc. Claimant(s) VS. AWARD CASE #88-02495 Drexel Barharn Lambert, Inc. Lance E. Cummings PaineWebber i Respondent(s) ) SUMMARY OF ISSUES This case was filed on July 25, 1988. Claimant Stauffco, Inc. alleges that Respondent Drexel Burnham Lambert, Inc. through its representative Lance E. Cummings made certain misrepresentations regarding investments in a common stock. C

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kenneth O. and Diana Eldridge Case No. 99-02349 Name of Respondent Wedbush Morgan Securities Inc. Name of Third Party Respondent Bear Stearns & Company REPRESENTATION OF PARTIES For Kenneth O. and Diana Eldridge ("Eldridge"), hereinafter collectively referred to as "Claimants": H. Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, C