NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Radford S. Fisher, individually and ) as trustee ) Claimant ) and ) A W A R D ) 88-02658 PaineWebber, Inc. and ) William Foster ) Respondents ) CASE SUMMARY In a claim filed with the NASD on or about August 22, 1988, Claimant Radford S. Fisher ("Fisher") alleged that Respondents PaineWebber, Inc. ("PaineWebber") and William Foster ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Scott H. Carriere and Margaret B. Carriere as Custodian Claimant(s) VB . 88-02654 Shearson Lehman Mutton Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Scott H. Carriere and Margaret B. Carriere as Custodian for their children's funds alleged that Respondent(s) Shearson Lehman Hutton made an unauthorized purchase of sec

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James 0. and Janet L. Jones vs. Jim Clark Claimant(s) Respondent(s) AWARD 88-02651 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 Claimant on August 1, 1988 and not by the Respondent as r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Liles and Glenesa Liles (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Andrew E. Samalin, and Stephen Glynn (Respondents) Case Number: 04-07404 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Liles, Individually ("K. Liles") and Kevin and Glene

Stipulated Award NASD Dispute Resolution In the matter of the Arbitration Between: Patrick J. Brown (Claimant) v. New England Securities Inc. (Respondent) r Case Number: 04-07133 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Patrick J. Brown hereinafter referred to as "Claimant": Paul K. Stecker, Esq., Phillips Lytle LLP, Buffalo, NY. Respondent New England Securities Inc. herei

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02335 John Pina, claimant vs. Ameritrade, Inc. respondent ATTORNEYS: Claimant, John Pina ("Claimant"), appeared Pro Se.. Santa Barbara, CA For Respondent Ameritrade, Inc. (Respondent"), James J. Vihstadt, Senior Regulatory Manager o£ Ameritrade, Inc. Regulatory Department, Bellevue, NE. DATE FILED: May 21, 1999 CASE SUMMARY: Claimant alleged that on Februa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 04-05882 Marcia L. Gersten Names of Respondents Hearing Site: Boca Raton, Florida Kaplan & Co. Securities, Inc. Jed Kaplan Eric K. Blau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marcia L. Gersten, hereinafter referred to as "Claimant": James D. Sallah, Esq., Klein & Sallah,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants L.J and Susan S. Whitmire Name of the Respondent BB&T Investment Services, Inc. Case Number 04-05199 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customers vs. Member. RFPRF.SF.NTATION OF PARTTFS Claimants, L.J. and Susan S. Whitmire, hereinafter referred to as "Claimants", were represented by Mathew E. Bates, Esq., Mathew E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03491 Linda Stephens-Jones Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Stephens-Jones, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum and Silver, LLP, Coral Springs,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Philip R. Kraus and 04-03373 Kansas City, Missouri Name of Respondents Signator Investors, Inc. James Arthur Gallogly, d/b/a The Heartland Gallogly Agency Stephen Dewey Godfrey, III Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Philip R. Kraus ("Claimant") was represented by John