NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03502 AWARD In che Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant vs. C.J. Wallace Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1990, through their outside counsel, Wexler & Burkhart, PC, Garden City, NY, Claimant Oppenheimer & Co., Inc. alleged that Respondent C.J. Wallace refused to rep

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03501 In the Matter of the Arbitration Between Oppenhe inter & Co., Inc. Claimant vs. Jay Fincher Respondent CASE SUMMARY Oppenheimer & Co., Inc. by its counsel Mark S. Goldstein, Wexler & Burkhart, Garden City, NY, in a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1990, alleged that Respondent Jay Fincher has failed to satisfy a debit

Arbitration LA.y.U. AWAKL5 National Association of Securities Dealers, Inc. One East Broward Boulevard NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1000 Ft. Lauflerdale. Ronda 33301 {305) 522-7391 In the letter of the Arbitration Between) Douglas P. Rosile CPA, Inc. ) ) Case No. 90-03499 Name of Respondent's^ ) j F.H. Wolf 5, Co., Inc. ) ) ) Heard before the arbitrator: Guy E. Burnette, Jr., Esq. Public Claima

• NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02226 Corporate Securities Group, Inc., claimant vs. Carl Cherchi, respondent. ATTORNEYS: For claimant, Corporate Securities Group, Inc., appeared in-house counsel, Charles E. Scarlett, Esq.. Boca Raton, FL. Respondent Carl Cherchi did not respond to the Statement of Claim. DATE FILED: May 14, 1999 CASE SUMMARY: Claimant alleged respondent is obligated to indemnify claimant f

N.A.S.D. AWBRD NKTTCNRL ASSOCXRTICIJ OF SECURITIES DEALERS In. the Matter of the Arbitration Between Name of Sdka Davis 90-03498 Name of Respondent < s) Merrill Lynch, Pierce Feoner & Smith, Inc. Frank J. Phillips, Jr. For Claimant: Ertta Davis was represented by H. Victor ibomas, Esq. of Bennett, Broocfcs, Baker & Lange, L.L.P., Houston, Tanas. For Respondents: Msrrlll Lynch, Pierce, Fanner & Smith, Inc. and Frank J. Phillips, Jr. ware r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE ft90-03491 AHAKD In. the Matter of the Arbitration Between Harry H. & Anne C. Hamarman Claimants vs. American Preferred Securities Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1990, Claimants Harry H. & Anne C. Hamarman, who appeared pro se, alleged that Respondent American Preferred Securities mismanaged Claima

N.A.S.D. AWARD *fbHf*U*i ^•--Ij^ja^l * ---- 1— «• -- jkJ rUUOfUU AilOCIlllOtl Ol NATIONAL ASSOCIATION OF SECURITIES DEALERS' SttUrittes DMMr*. Inc. NASD Financial Centtr in the Matter of the Arbitration Between fc 10004 Sheri Mitchell 90-03487 Wakefield Financial Corp. Michael Carter Al Minella Parsons Eng For Claimant, Sheri Mitchell: William Ng. King, Esq. Respondents, Wakefield Financial Corp., Michael Carber, Al Minalla and P

N.A.S.D. AJORD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between) ) Name of Claimant (a) ) =_===«*=* } JOC < "ttar>n'< T^ aivH Ell€Q fhanr^pg JtWOS ) ) ) Oae Do. 90-03486 Name of Respondent(s) ) ) Prudential-Bache Securities Inc. ) Robert D. Child ) Poor < " r i«'< tn«i7f^ f Jon *TK? ELlen fymrtn-trig ("the Channings"): Robert Levine, Esq. of Floyd, Pearson, Kidman, et al. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hermantown Federal Credit Union # 90-03485 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION For Claimant: Richard D. Kolu, Esq., Attorney At Law, Duluth, Minnesota. For Respondent: Steven M. Phillips, Esq. of Popham Hailc Schnobrich & Kaufman, Ltd., Minneapolis, Minnesota. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between TJ.A. Garred Sexton and Willie Steele Browing Bullock, Trustee of Willie Steele Browiiag Bullock Trust Dated 6/19/84 VB. 90-03477 M niuiit pinancial Gene MULL you Poor fT 1ff1 i fli*nt'g t r r ia-< 'niB»r>fr«i For Respondents: Arthur P. ft»i«»v*»i-, Esq., GoAdn, Carlton & Maxwell, Dallas, Tens Statenait of