NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Armand J. Parker and Margaret O. Parker r JTTEN Claimant(8) vs. Bill Richey and Bob Frankel Respondent(s) AWARD 88-01384 The Arbitrator, Kent Mastores, Esq., selected to review and determine a natter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on April

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between) EILEEN F. BARCUS ) Claimant ) ) Case No. 88-01374 FIRST ENCO SECURITIES, INC. AND JOHN S. 6GOGLAY Respondents CASE SUMMARY On or about April 29, 1988, the Claimant filed this claim against the Respondents for unsuitable security transactions, fraud and negligence. Claimant alleged that Respondent Bodolay caused himself to be paid a $12,500.00 commi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward J. Cranston Claimant(s) vs. NOTICE OF ARBITRATION AWARD 88-01368 Prudential-Bache Securities, Inc. Respondent(s) i CASE SUMMARY Claimant (s) Edward J. Cranston alleged that Respondents) Prudential-Bache Securities, Inc. delayed executing a sale of securities. Respondent (s) maintain that Claimant knew or should have known that the r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS PaineWebber Inc., (Claimant) vs. Douglas F. Joyce, (Respondent) Case Number: 01-03259 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, UBS PaineWebber, Inc., hereinafter referred to as "Claimant": Thomas G. Draths, Esq., Schuyler, Roche & Zwirner, Chicago, IL. Respondent, Douglas F. Joyce, hereinafter referred to as "Respondent", appeared pro se. CASE INF

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD FBMC Financial Corp., dba Claimant ) First Bankers Mortgage Co. CASE #88-01359 vs. E.F. Mutton Mortgage Corp. Respondents and Shearson Lehman Hutton SUMMARY OF ISSUES This case was filed on April 28, 1988. claimants alleged that Claimant and Respondents entered into an agreement whereby Respondents agreed to purchase $15 million in loans from Claimant and that Respondents refused to perf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul X. Savageau Claimant } ) Case #88-01358 ) vs. ) Award ) First Affiliated Securities, Inc. ) James H. Blackman Respondents ) 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 the Claimant on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George S.- Wright Claimant(a) V8, 88-01356 O.K. Thieleke Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) George S. Wright alleged that Respondent(s) O.K. Thieleke Securites, Inc. misrepresented material facts as to Claimant's investment with Respondent. Respondents) denies Claimant's allegations. RELIEF REQU

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Leo Feingold Claimant(a) vs. 88-01350 Doug Brown and Blinder/ Robinson & Co., Inc. Respondent(B) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Leo Feingold alleged that Respondents Doug Brown and Blinder, Robinson & Co., Inc. negligently mishandled Claimant account held with Respondents. Respondents denies Claimant allegations. RELIEF

APRJ6RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Jenrose Miller Claimant(s) Case #88-01343 vs. Award E.F. Rutton, Inc., Edmund Nasiefe and Thomas Rardin ) Respondent< s) ) CASE SUMMARY Claimant, Jenrose Miller, alleged in her April 21, 1988, claim (Claimant's Exhibit I) that in 1983 the Respondents, E. F. Hutton, Edmund Nasiefe and Thomas Hardin, placed in her a speculative

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) ) Award William G. Teufel Claimant ) ) ) NASD No. 88-01337 vs. ) Pennsylvania Securities Co. Respondents ) Marvin Raff ) ) SUMMARY OF ISSUES This case was filed on April 26, 1988. Claimant alleged negligence and failure to execute in the sale and purchase of mutual funds. Respondents denied the a