NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ralph N. Goldwyn, Trustee for Claimant ) First^Commercial Finance Defined ) Benefit Pension Plan, Dated ) August 1, 1978 ) AWARD vs. ) CASE NO. 88-02074 I Shearson Lehman Hutton, Inc. Respondents ) and David Smith SUMMARY OF ISSUES Claimant alleged purchases of the common stock of SAY Industries were made on the advice, recommendation and insisten

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration RP France 1 ; Addas vs. Claimant Cornwall Securities, Inc. Respondents AWARD #88-02072 CAbfc SUMMARY Claimant alleges that Respondents made unsuitable investments in a discretionary account over which Respondent Broker Trene Sullivan maintained control. Further, that Respondent Irene Sullivan made excessive purchases and sales of highly speculative,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bernie Fratto Claimant ) ) AWARD vs. ) CASE NO. 88-02071 Merrill Lynch, Pierce, Fenner ) & Smith, Inc., George Fedorow, ) Kenneth Cadarette, and ) Edward Hocking Respondent(s) ) SUWARY OF ISSUES Claimant Bemie Fratto filed this claim on June 27, 1988 against Merrill Lynch, Pierce, Fenner & Smith, Inc., financial consultant George Fedorow, administ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David E. Crosby Claimant(s) vs. A.G. Edwards & Sons, Inc. Respondent(s) AWARD 88-02067 The Arbitrator, Janet Weiss, 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 June 9, 1988 and November 14, 1988, respectively; And, that

9003/3/ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jack B. Cohen and Claimants ) Betty L. Cohen ) ) vs. ) CASE NO. 88-02064 ) Wedfaush, Noble, Cook, Inc. Respondent ) SUMMARY OF ISSUES In a claim filed with the NASD on June 27, 1988, Claimants alleged that the actions of Respondent in involuntarily liquidating certain securities in Claimants' accounts constituted breach of contract,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) GLEN E. AND ELIZABETH ANN HACKER, CICO, LTD. ) Claimants ) AWARD v. ) NO. 88-02061 STIFEL, N1COLAUS & CO., INC. and ) JIM A. TURLEY ) Respondents ) On April 7 and 11, 1989, in Oklahoma City, Oklahoma, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimants' on June 24, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Savino & Loretta Preziuso Claimants vs. AWARD #88-02056 Prudential-Bache Securities, Inc. Pruco Securities Corp. Thomas Nicotra Daniel T. Rose Respondents Lewis Grandinetti Prudential Insurance Company of America Case Summary Claimants alleged that Respondents misrepresented investments when advising Claimants to move monies from their IRA acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Witold Kepka Claimant vs. ) Case 188-02052 Award Rose and Company Investment Brokers, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-Mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on June 9, 1988 and August 19, 1988

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ftr- 01-03289 Gary A. James Respondents H^ari n gJSiig* Dallas, Texas First Union Securities, Inc.; and Robert J. Collins Claimant Gary A. James, hereinafter referred to as "Claimant": E. Steven Watson, Esq., Attorney at Law, Carrollton, Texas. Respondents First Union Securities, Inc. ("First Union") and Robert J. Collins ("Collins"), hereinafter referred to as "Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Nestor and Wilhelmina Camina Kamalinee V. Deshpande Case No. 00-00986 "Matnp. nf RpgnnnHpntg Wheat First Securities, Inc. (n/k/a First Union Securities, Inc.) David C. Holdsworth Hearing Stta; Washington, D.C. RffPPITSFNTATTON OF PAPTTFS Claimants, Nestor and Wilhelmina Camina ("Caminas") and Kamalinee V. Deshpande ("Deshpande "), hereinafter referred to as "Cla