NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitrator Between ) ) Robert Shad (Deceased), Claimants ) Molly Shad, and Samantha Shad ) AWARD ) vs. ) CASE NO. 88-02676 ) Dean Witter Reynolds, Inc., Respondents ) Milton Ponitz, and Lee McMahan ) SUMMARY OF ISSUES This case was filed with the NASD, Inc. on August 23, 1988. Claimants alleged that the covered writing option program ("CWOP") promoted by Dean Witte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) RANDELL BROWNING ) Claimant } and ) _ ) CASE Nd. 88-02672..,,.. - SMITH BARNEY, HARRIS UPHAM & CO., INC. ) Respondent CASE SUMMARY { Randell Browing ("Claimant") alleged that Smith Barney, Harris Upham & Co., Inc. ("Respondent") was negligent in handling his account, made misrepresentations and ommissions regarding his securities it recommende

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eileen & Stephen Weiss Claimant(s) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Danzinger Respondent(s) AWARD 88-02672 The Arbitrator, Neill Edward Hannon, Esq., 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 partie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between MARY GAY ASSELIN Claimant and ) ) CASE NO. 88-02670 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC, Respondent CASE SUMMARY Mary Gay Asselin ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent") misrepresented and failed disclose all of the material facts related to the Franklin U. S. Government Securities Fund. Ad

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lee H. Kimmell and LKWT Partners, (Claimants) vs. Interacciones Global, Inc., (Respondent) Case Number: 99-02338 Hearing Site: New York, New York REPRESENTATION OF PARTIES s Claimants, Lee H. Kimmell ("Kimmell") and LKWT Partners ("LKWT"), hereinafter collectively referred to as "Claimants": Alan E. Kraus, Esq., Latham & Watkins, Newark, NJ (Mr. Kraus was with the law firm

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne R, and Merrily J. Starkey Claimants vs. Shearson Lehman Hutton, Inc. Michael Zackom Respondents AWARD 188-02667 Case Summary Claimants, Wayne R. and Merrily J. Starkey (hereinafter "Claimants"), alleged that on October 21, 1987, Respondent Michael Zackom (hereinafter "Zackom") refused to execute Claimants' order to purchase 3000 shares of Ne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ^AfcoL-D LuDujiG^ TeosTet OP rHt ) ) Award Claimant^ ) ) NASD No. 5tf -02-««.(x4, vs. ) . ,. . , U . ) ?Ruu ij. ^,UKJ£V Respondent's^ ) SUMMARY OF ISSUES This case was filed < xr /muU^ TJuu M ^AJ,g. d/U.g(. TO /U^VK. tUw . ( ^VUL. (UtteJ/L tk&± -H^uQ (cW . 4. ^y* 1 AxJAAjfu*^. (M

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Andrew J. Rego Claimant(s) vs. Rose & Co., Inc. Respondent(s) AWARD 88-02663 The Arbitrator, Neill Edward Hannon, Esq., 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 August 12, 1988 and December 23, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Jerome Rothstein Claimant Respondent CASE 188-02662 AWARD CASE SUMMARY In a claim filed at the NASD on August 22, 1988, Claimant Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill") alleged that Respondent Jerome Rothstein ("Rothstein") failed to meet the maintenance call in Respondent Rothstein's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) JACKIE G. MOSLEY ) CASE NO. 88-02661 and PRUDENTIAL BACHE RALPH GRISHAM AND Claimant ) ) SECURITIES, INC., ) ROE BURTON ) ) Respondents ) CASE SUMMARY Jackie G. Mosley ("Claimant") alleges that Prudential-Bache Securities, Inc. ("Respondent Bache"), Ralph Grisham ("Respondent Grisham"), and J. Roe Burton ("Respondent Burton")