NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Richard and Janice Li 1 lien, ) ) Claimants ) ) Case #88-02207 vs. ) Award Dean Witter Reynolds, Inc., Ronald Biederman and William Wick, Respondents On April 20, 1989 and May 1, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Richard and

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JAMES C. RADER & SANDRA F. RADER ) ) Claimants ) v. ) CASE NO. 88-02205 ) AWARD MERRILL LYNCH, PIERCE, FENNER & ) SMITH, INC. AND DANIEL E. THORSON ) Respondents ) On May 15, 1989 in Minneapolis, Minnesota, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on June 30, 1988 by Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Emanuel J. and Suzanne W. Gorman, Claimants » ) Case #88-02197 vs. Shearson Lehman Mutton and Joel S. Silber, ) Award Respondents On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Emanuel J. and Suzanne W. Gorman, on June 29, 1988 and by Respo

N.A.S.D. AMMZD NRUCNRL ASSQdXnQtT OF SBDDRITIES rrarjas In the Matter of the MDitzatlcm EetMeaa of Stavsa 88-02196 Thda City ea, loo. Pbr naiTmmtt Pro Se. Hoar Raapcodaat: Oatus (Anthony) E. City Securities, IDC. : Tin Raman, Frldley, Pro S*. For Statenoat of Halm filBri: CULy 12, 1388. Claimant's flfrnrlwrlnn Agrement signed cm March 23, 1988. of AIUMBC ^^*>»* by KflepooclflDk, P^^HM (UnbbcDy) B. 22, 1986. cm

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Considine v. Salomon Smith Barney and Michael Mooradian Case Number: 99-3993 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Robert Considine, hereinafter referred to as "Claimant": David E. Sims, Esq., Finkei, Whitefieid, Selik, Raymond, Ferrara & Feldman, P.C. Farmington Hills, Michigan. Respondents, Salomon Smith Barney ("SSB) and Michael M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) R. WAYNE & DIE A. BROWN OTTEN ) Claimants ) and ) ) CASE NO. 88-02194 CHARLES SCHWAB & CO., INC. ) ) Respondent ) CASE SUMMARY In their claim with the NASD on or about July 11, 1988 Claimants R. Wayne Brown & and Die A. Brown ("Claimant") alleged that Respondent Charles Schwab & Co., Inc. had improperly handled their account by refusing

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Bashamber, Ratnia & Daya Claimant(s) ) Chabra ) ) vs. ) CASE NO. 88-2189 ) Merrill, Lynch, Pierce, Respondent(s)/ ) & Smith Cross-Complainants ) vs. Arjun Khianai Cross-Respondent SUMMARY OF ISSUES This case was filed on July 11, 1988. This proceeding arises from various purchases of Putnam High Income Government Trust, some of which wer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wagdy w. Asaad Claimant(s) vs. AWARD 88-02188 Larry Geller, Vanderbilt Securities, Prestige Investors, Inc. and Joseph Radcliffe Respondent(s) NOTICE Or ARBITRATION CASE SUMMARY Claimant(s) Wagdy W. Asaad alleged that Respondent(s) Larry Geller, Vanderbilt Securities, Prestige Investors, Inc., and Joseph Radcliffe fraudulently misrepresent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE NO. 88-02187 In the Matter of -the Arbitration Between ) VELDA SMITH SAUNOERS ) Claimant(s) ) and ) ) ) HOME LIFE INSURANCE CO., INC., ) W. S. GRIFFITH & CO., INC. AND ) PAUL EWING ) Respondent (s) ) CASE SUMMARY In a claim filed on or about July 11, 1988, the Claimant alleged that the Respondents (through Mr. Paul Ewing in his capacity as agent for Home Life Insurance Com

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dr. Stanley Sheft Claimant vs. Shearson Lehman Brothers, Inc. John Mahonchak Respondents AWARD #88-02184 Case Summary Claimant asserts Respondents failed to provide proper and adequate information concerning his margin account, i.e. marginability of low priced securities in a margin account, the potential risks involved and the status of the accou