NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In The Matter of The Arbitration Between ': Irare J. Takats Claimant' 1 Award Countei— ' Respondent ; N'ASD *88-01967 vs. Merrill Lynch, Pierce, Fenner & Respondent' Smith, Inc. Counter- > Claimant SUMMARY OF ISSUES Claimant Imre J. Takats filed this action on June 20, 1988 against Merrill Lynch, Pierce, Fenner fc Smith, Inc., for violations of the margin requirements of Regulation T u

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles D. Terry Case No. 01-03287 Names of Respondents Rex Dale "Corky" Ennis, Jr. American Investment Services, Inc. Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Charles D. Terry hereinafter referred to as "Claimant": Gary P. Barket, Esq., Little Rock, AR. For Respondent Rex Dale "Corky" Ennis, Jr. ("Ennis"): Matthew Blayne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) RAY KENNELLY ) Claimant } and ) ) CASE NO. 88-01965 MERRILL LYNCH, PIERCE, FENNER & SMITH, ) INC. ) ) Respondent ) CASE SUMMARY Ray Kennelly ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. breached its agreement and fiduciary duty to the Claimant by not watching the Claimants' account as its agent had promise

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tom Lilly Claimant(s) vs. 88-01958 Cornwall, Abbott & Gray, Rick Whatley and Roselee Gardner Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Tom Lilly alleged that Respondent(s) Cornwall, Abbott & Gray, Rick Whatley and Roselee Gardner misrepresented material facts as to an investment in options. Respondent(s) deny Claimant'

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy-L. Patrick D.D.S., F.C. Claimant(s) vs. 88-01957 Thomson-McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Timothy L. Patrick D.D.S., P.C. alleged that Respondent (s) Thomson-McKinnon Securities, Inc. misrepresented material facts as to Claimant's investment with Respondent:. Respondents)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. #88-01956 Mark W. Gunderson Respondent Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submission to arbitration signed by the Claimant on May 27, 1988, but not signed by the Respondent as required by the te

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Lawrence A. Brockman Claimant ) vs. ) AWARD E. F. Mutton & Co., Inc. and Respondents ) CASE NO. 88-01949 Morris Symson ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. {"NASD") on June 17, 1988. Claimant Lawrence A. Brockman alleges that Respondents E. F. Mutton & Co., Inc. and Morris Symson induced him int

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) AWARD Western Employers, Inc. Claimant(s) ) ) CASE 188-01944 vs. ) Jefferies & Company and Respondent (s) ) Warren Nadel ) ) SUMMARY OF ISSUES This case was filed June 21, 1988. Claimant alleged that in connection with placing Claimant in a "Preferred Stock Dividend Capture Program" or "Dividend Roll Program" and purchase of options on commodity futures contracts, Respondents committ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David W. Gat ling Claimant vs. Sherwood Capital, Inc. Respondent AWARD #88-01943 Case Summary Claimant David W. Gatling ("Gatling") claims arise from the offer and sale by the broker, Edward Marshall ("Marshall") of several over-the-counter stocks, Investment Technologies, Inc. and Entell Corporation. The Claimant alleged that Marshall an agent of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) DR. WILLIAM A. RADEFELD and ) BETTY E. RADEFELD, ) Claimants, } ) Case 188-01941 vs. ) Award ) MERRILL LYNCH, PIERCE. FENNER & SMITH, INC. ) and ROBERT BERRY ) Respondents. ) ) Heard before the members sof the Arbitration Panel: Thomas Fotopulos, Esq. Mr. James A. Smith IV Mr. Ralph Feith CASE SUMMARY This claim was filed