NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Frank J. Giaquinto, Claimant vs. Dale Yeakel, and John Vega, Case 188-03659 Award Respondents CASE SUMMARY Claimant alleges that the account executive of Sandhurst Securities, Ltd., John Vega, made an unsuitable recommendation to the Claimant concerning High Point Ventures a/k/a Aviation Education Systems, Inc. Claimant further alleges tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc. vs. Anthony Dante Claimant Respondent Case #88-03652 AWARD CASE SUWARY Claimant Oppenheimer & Co., Inc. seeks return of a dividend on Newmont Mining on which Respondent Anthony Dante incorrectly received a double payment due to Claimant's office error. RELIEF REQUESTED Claimant seeks $16,500.00 together with interest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Emanuel Boxer Claimant vs. Case #88-03651 AWARD B-R Securities Corporation Respondent CASE SUMMARY Claimant, Emanuel Boxer alleged that Respondent, B-R Securities Corporation failed to execute a sell order of units of Axiom Systems upon his instructions. Respondent maintained that Claimant did not communicate any order to sell his Axiom position

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Carmella M. Parrillo Claimant vs. Case 188-03648 AWARD Shearson Lehman Hutton, Inc. Respondent CASE SUMMARY This proceeding was commenced initially on November 22, 1988 against the Respondent E.F. Hutton & Co., Inc., presently known as Shearson Lehman Hutton, Inc. ("Shearson"), and arises out of a certain account maintained by the Respondent in

Vd-2 3 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Frank W. Klescewski vs. Grigsby, Brandford & Co., Inc. Calvin Grigsby Napoleon Brandford Claimant Cross-Respondent t Respondents ) Cross-Claimant ) AWARD CASE #88-03647 SUMMARY OF ISSUES This case was filed on November 25, 1988. Claimant Frank W. Klescewski alleges that he was hired by Respondent firm Grigsby, Brandford & Co on or about September 15, 1986. As

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John T. Barbieri vs. Ira Epstein Stocks and Options vs. Transaction Services, Inc. Claimant Respondent Respondent CASE #88-03642 AWARD CASE SUMMARY Claimant John T. Barbieri ("Barbieri") alleges that Respondent Ira Epstein Stocks & Options ("Ira Epstein") failed to timely execute Barbieri's orders. Barbieri contends that as a result of t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Miriam Edelstein 94-01952 Name of Respondents Advantage Capitol Corporation Nancy S. Bel! REPRESENTATION For Claimant: Miriam Edelstein, Nanuet, New York. For Respondent: J. Christopher Jackson, Esq., Van Kampen American Capital Inc., Oakbrook Terrace, Illinois. CASE INFORMATION Statement of Claim filed: May 23, 199

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02320 Sheldon Wolf, IRA, claimant vs. Discover Brokerage Direct, Inc., respondent. ATTORNEYS: Claimant Sheldon Wolf ("Claimant") appeared Pro Se., Tampa, Florida. For Respondent Discover Brokerage Direct, Inc. ("Respondent"), Judith M. Rosenberg, Esq., Discover Brokerage Direct, Inc., San Francisco, California. DATE FILED: 05/20/1999 CASE SUMMARY: Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Jardim Case# vs. 94-01789 Name of Respondents Shearson Lehman Brothers, Inc. REPRESENTATION Claimant, Dr. Anne Jardim ("Claimant"), represented herself at the hearing For Respondent, Smith Barney Shearson, Inc. ("Respondent"), George Richardson, JH, Esq., in house-counsel located in New York, New York. CASE INFORMA

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Douglas A. Gregor and Catherine T. Gregor. Joint Tenants and 94-01788 Name of Respondent Pacific Brokerage Services, Inc. REPRESENTATION OF PARTIES Douglas A. Gregor and Catherine T. Gregor, Joint Tenants ("Claimants") was represented by Kenneth Philip Ross, Esq., Robert F. Coleman & Associates, Chicago, Illinois. Pacific Bro