NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between — Dorothy D. Butler Claimant : vs. { Merrill Lynch, Pierce, Fenner & Smith Respondents and Gregory J. Hetzer 1 1 1 > Case 188-01845 > ' 1 Award 1 > Heard before the Arbitration Panel: Thomas M. Adams, Esq. Robert S. Clarke Luther D. Prater On May 17, 1989, the undersigned arbitrators heard the controversy

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carlton FT Roberson Claimant(s) vs. 88-01844 Fidelity Investments Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Carlton F. Roberson alleged that Respondent Fidelity Investments did not execute a trade as directed. Respondent maintains that there is no record of the call Claimant alleges to have made and therefore finds no evidenc

- NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mario J. Geraci Claimant ) vs. ) AWARD Templeton Fund Distributors Respondent ) CASE NO. 88-01839 SUMMARY OF ISSUES This case was filed on June 6, 1988. Transcorp Pension Services, Inc. was initially named as a Respondent. This entity is not a member firm of the National Association of Securities Dealers, Inc. ("NASD") and did not submit voluntarily to NASD

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03281 Sloan Horton UTMA Nichalaus Horton Trust Sloan Horton Trust Names of the Respondents Hearing Site: Little Rock, AR Edward D. Jones & Co. Daryl King REPRESENTATION OF PARTIES For Sloan Horton UTMA ("Horton"), Nichalaus Horton Trust, and Sloan Horton Trust, hereinafter collectively referred to as "Claimants": Gary P. Barket, Esq., Little Rock,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Philip C. Armetta, ) ) Claimant ) Case #88-01838 ) vs. ) Award Charles Schwab & Co. and Linda DeWalde, Respondents CASE SUMMARY Claimant alleges that the sale of January 19, 1987, was excessive, against his instructions, and executed with the primary purpose of generating commissions. Claimant further alleges that the transaction was done in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of_ClaJJBflt(sJ^ ) Marilyn, Barry and Seth Fellman ) ) Case No. 88-01835 flame of Respondent(s) ) Philips, Appel & Walden Inc. ) Hershel Krasnow ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. George R. Canty, Jr. Leslie Bishop CASE SUMMARY This claim was filed with the National Association of Securi

b NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reco, Inc. Claimant(a) vs. Thompson McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-01830 i CASE SUMMARY Claimant Reco, Inc. alleged that Respondent Thompson McKinnon Securities, Inc. was negligent and/or dilatory in the handling of Claimants investment account with the Respondent. Respondents maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A & R Kalimi an Realty vs. Claimant Shearson Lehman Brothers, Inc. Edgar M. Fitzsimons Respondents CASE #88-01823 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1988, Claimant A & R Kalimian Realty alleged the Respondents misrepresented the yield the Claimant would receive on its investmen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond J. Jenkins Claimant - ) Case #88-01817 vs. ) Award ) The Stuart-James Company, Inc. Respondent ) On May 9, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Raymond J. Jenkins on May 31, 1988, and by Respondent The Stuart -James Company, Inc. on July 21, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MOHSIN M. SAID ) ) Claimant ) and ) ) CASE NO. 88-01809 FIDELITY BROKERAGE SERVICES D/B/A ) FIDELITY INVESTMENTS ) Respondent ) CASE SUMMARY In a claim filed with the NASD on June 2, 1988, Claimant, Mohsin M. Said alleged that Respondent Fidelity Brokerage Services, Inc. violated its contractual and equitable obligations to claim