NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Samson Tabrizi Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Capital Markets Securities Research Division, Charles A. Bradford and Jack NOTICE OF CORRECTION OF AWARD CASE NO. 88-01601 Kreider Respondents The award dated November 16, 1989, contains an incorrect rate of interest. Paragraph 1 should read: 1. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter R. Bonano Carol L. Bonano vs. Dreyfus Service Corporation Claimants Respondent CASE NO. 88-01598 SUMMARY OF ISSUES This case was filed on May 17, 1988. Claimants originally filed their claim against Concord Holding Corporation and Pacific Horizon Group of Funds. These two entities are not NASD members and did not submit voluntarily to NASD

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore Reals Claimant(8) vs. 88-01595 Blinder, Robinson & Co., Inc. and Jack Kirkland Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Salvatore Reale alleged that Respondent(s) Blinder, Robinson & Co., Inc. and Jack Kirkland made certain misrepresentations concerning securities purchased by Claimant. Respondent(s) deny al

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ronald C. Sands Evelyn L. Sands C1aimants ) ) Case #88-01590 vs. ) Award Shearson Lehman Hutton, Inc. Respondent On April 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Ronald C. and Evelyn L. Sands on May 12, 1988, and by Respondent Shearson Lehman Hutton, I

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between George A. & Jean W. Harris Claimant(s) vs. 88-01588 Kennedy, Cabot & Co. AWARD Respondent(s) The Arbitrator, John W. Jerak, having been 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 the parties on April 25, 1988 and June 24, 1988, respec

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Stephen Kertesz and Yolanda Kertesz and Names of Respondents Hantz Financial Services Steven Jarzabek and David Smith Case Number: 01-03252 Hearing Site: Southfield, Michigan NATURE OF CASE Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Stephen Kertesz and Yolanda Kertesz ("Claimants") was represented by Jose

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martin Krewitz Claimant Award vs. #88-01583 Bateman Eichler Hill Richards Josef Snettt 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 parties on May 2, 1988, August 18, 1988 and September 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) JOSEPH V. KHAKSHOUR ) Claimant ) AWARD v. ) NASD NO. 88-01581 E.F. HUTTON 8. CO., INC., ) MICHAEL ROBERT FERCONIO ) Respondents ) On May 17, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on April 30, 1988 by Claimant Joseph V. Khakshour, on July 21, 1988 by James Ahigrim on be

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Ari&tration Between Robert John Russel and Charlotte Ann Russell, TTEE Claimant(s) vs. 88-01577 First Affiliated Securities, Inc. and Michael Pickering Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, Albert A. Rapoport, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Theodore M. Kruger and Claimants Maryl Balch Kruger vs. CASE NO. 88-01571 Shearson, Lehman Mutton, Inc. Respondents and Richard Singennan SUMMARY OF ISSUES Claimants filed this claim with the NASD on May 16, 1988 and alleged breach of fiduciary duty, breach of contract, fraud, and negligence in connection with Claimants purchase of 12,000 shares of Fuji