N.A.S.D. AWARD NATICNNli ASSOdKTICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Cberweis Securities, Inc. 88-01423 Thomas P. DeVries Marguerite DeVries Foe Claimant: N. Neville Reed, Esq., of Mayer, Brown & Platt, Chicago, Illinois. Fdr RBBpmdsntt none. rant Statement of CTnlm filed; May 5, 1988. Claimant's Submission Agreement signed ant February 2, 1988, by Janes A. Arpaia, Senior Vice President, Cberweis Securit

rtATIQNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between A. GILBERT BELLES ) Claimant ) NASD NO. 88-01418 v - I EDWARD 0. JONES & CO., INC. and ) MARK BURNSIOES } Respondents ) CASE SUWARY A. Gilbert Belles ("Claimant") alleges that Edward D. Jones & Co. and Mark Burnsides ("Respondents") misrepresented the types of investments purchased in his account and Claimant relic-G on the recommendations of R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward J. Potter, Claimant, vs. A.6. Edwards & Sons. Inc. and Joseph Flammio, Respondents, Case #88-01410 Award Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Ms. Patricia A. Shub Mr. Samson Silbennan CASE SUMMARY This claim was filed with the NASD, Inc. on May 2, 1988. The hearing was conducted in Fort

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Irving & Mary Rappaport Claimants Case f88-01409 "vs. Award Fidelity Investments Respondent On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Irving & Mary Raopaport on May 6, 1988 ana by Respondent Fidelity investments on October 27, 1988. The arbitratio

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: \ Ronald Soussa TTEE FBO Ronald Soussa Pension Plan, (Claimant) vs. Ameritrade, Inc., • (Respondent) Case Number: 01-03253 Hearing Site: New York, New York Claimant Ronald Soussa TTEE FBO Ronald Soussa Pension Plan, hereinafter referred to as "Claimant": Ronald Soussa, Trustee, Parsippany, NJ. Respondent Ameritrade, Inc., hereinafter referred to as "Respondent": James J. V

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hugh Guthrie H. Max Huie, Trustee of the Hugh L. Guthrie Family Trust Claimants vs. Merrill Lynch Life Agency Merrill Lynch, Pierce, Fenner & Smith, Inc. Ernest Falkner Executive Life Insurance Company Respondents Case #88-01405 ) Award On April 27, 1989, the undersigned arbitrators heard the controversy between the parties as set forth

05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Dudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents AWARD #88-01633 #88-01185 Case Summary Claimants alleged in both claims that Respondent Jane Nize failed to follow instru

05 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Zdzislaw Jess & Christina Oudzinski Claimants vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents and Lech Dlugolecki Claimant vs. Jane Nize Investment Bankers & Brokers, Inc. Respondents AWARD #88-01633 #88-01185 Case Summary Claimants alleged in both claims that Respondent Jane Nize failed to follow instru

/• i NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant ) ) Case #88-01652 ) vs. ) Award ) James Moscrip Respondent ) On April 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on February 16, 1988, and by Respondent on July 18, 1988. The arbitration panel, having con

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) LAWRENCE H. BLOCK, ) __ Claimant, ) ) Case #88-01605 vs. ) Award ) SHEARSON LEHMAN HUTTON. INC., } Respondent. ) Heard before the members of the Arbitration Panel: Leonard H. Davidson, Esq. Louise T. Jeroslow, Esq. John Darling On April 6 and 7, and May 16 and 17, 1989, the arbitrators heard the contro- versy between the parties as s