N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Narre qf f|1f»iTnant(s) Michael R. Berz CASE 188-01940 Raymond, James & Associates, Inc. Joseph P. Tuorto Harvey Hertz Heard before the members of the Arbitration Panels George Felos, Esq. Public Arbitrator Louis Saxton Public Arbitrator Randall T. stack industry Arbitrator This matter was initiated by a Statement of Claim filed with th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lev Gertzman Claimant(s) vs. AWARD 88-01939 Midlantic Brokerage Services, Inc. and BHC Securities, Inc. Respondent(s) The Arbitrator/ Kent Mastores being the Arbitrator 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 Lev Gertzman and BHC Secu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerome P. Coyle IRA account no. 670-98331; Jerome P. Coyle & Linda Rae Coyle JTWROS account no. 663-37674; Edward Adolph Coyle Revocable Trust dtd 7/24/92; and Edward Adolph Coyle, trustee account no. 663-37506 v. McLaughlin, Piven, Vogel Securities, Inc., Rober( D. Braun, James J. McLaughlin, Sr., James C. McLaughlin, & Allan M. Vogel ( se Nnmher- 01-03285 , He.nring Sitet Salt Lak

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Cowen & Co., Claimant vs. Michael and Harriet Tarnpoll, Respondents Case #88-01931 Award CASE SUMMARY Claimant, Cowen & Co., alleged that Respondents, Michael and Harriet Tarnpoll, failed to deposit additional funds to satisfy margin requirements pursuant to their margin agreement. this action caused the Claimant to liquidate the balance of the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Cowen & Co., } Claimant ) Case #88-01930 vs. ) Award Robert Onesti and ) Raymond Maille, ) Respondents ) Third-Party Claimants ) vs. ) Viceroy International Securities Corp. ) and Avin Bakal, } Third-Party Respondents ) CASE SUMMARY Claimant alleges that Respondent, Raymond Maille, maintained a margin account with Viceroy Internati

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William E. & Joann Miller Claimants vs. AWARD #88-01927 Blinder, Robinson & Co., Inc. Linda Helmly Respondents Case Summary Claimants alleged that Respondents Blinder, Robinson & Co., Inc. and Linda Helmly executed unauthorized transactions of common stock in their account and purchased shares in another security without their permission. Responde

yv/xso Arbitration H.A.S.L). NKEICNAL ASSOCIATION OF SBCIRmES EERU&& National Attociation ot Securities Dealer*, Inc. NASD Financial Canter 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Carol A. Hamming Raymond J. Hamiing Case # 88-4)1925 vs diaries Schwab & Gonpany, Inc. Schwab & Ocnpany, Inc., without Wiich consisted of the claim was filed on June 15, 1988. Claimants, Caro

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. E. F. Mutton Company, Inc. Shearson Lehman Hutton Respondents In the Matter of the Arbitration Between Rudolf E. Mantel Claimant vs. ) Case #88-01924 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by parties on May 24, 1988 and August 22

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Joseph" A. Everett Claimant(s) vs, 88-01853 E.F. Button & Co., Inc. and Leonard Greenstein Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Joseph A. Everett alleged that Respondent(s) E.F. Hutton & Co., Inc. and Leonard Greenstein misrepresented facts concerning the future of a company. Respondent(s) deny the material allega

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Aivars Slucis Claimant(s) vs. 88-01850 Alton W. Hitts Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Aivars Slucis alleged that Respondent Alton W. Hitts Respondent sold stock in Claimant's account to meet margin requirements while Claimant was out of the country. Respondent maintains that he asked Claimant which stocks should be