NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Sloate, Weisman, Murray & Co., Inc., and Bear Stearns & Co., Inc., Claimants vs. Eight Brookwood Fund, Case #88-00835 Award Respondent CASE SUMMARY Claimants, alleged that Respondent, fraudulently promised to meet the margin call for 200 puts OEX November 300 before the opening of the market on October 19, 1987. Had the Claimants known that Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) MEREDITH WILLIAMS GRAVES ) Claimant ) AWARD v. ) NASD NO. 88-00831 ) MERRILL LYNCH, PIERCE, FENNER ) & SMITH ) JAMES SAUNDERS ) Respondents ) On May 9, 1989 in Dallas, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant on March 2, 1988, by the Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — — — — ——— — — — — — •!••. — »-*. — —^—— »«••— — -*•—— — -•-* — — —•.»———».»«. — ^*»*»_^ — — — In the Matter of the Arbitration Between ) Louis Charles Fink ) Claimant ) ) Case #88-00814 vs. ) Award ) Shearson Lehman Brothers Edward Boulbol Henry Boulbol ) Respondents ) On January 31, April 3, April 4 and May 8, 1989, the undersigned arbitrators heard the controversy between the p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenelm and Jane Guinness vs. Ferris & Company, Inc. Royce Cohen Claimants Respondents CASE #88-00810 vAWARD CASE SUMMARY Claimants Kenelm and Jane Guinness alleged that Respondents Ferris & Company, Inc. and their former broker, Ms. Royce Cohen placed Claimants in unsuitable real estate and oil and gas tax shelter investments. Claimants alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Martin K. Donaldson, ) Claimant, } ) Case J88-00779 vs. ) Award ) Prudential-Bache Securities, ) Respondent. ) ) Heard before the members of the Arbitration Panel: John P. Cullem, Esq. James R. Kennedy Jr., Esq. Mr. Arthur De Stefano CASE SUMMARY This claim was filed with the NASD, Inc. on March 9, 1988. The hearing was conducted i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. .«Kv^«w*«< taw< Hvw«»»'< *»« B '>^«r«>w***< » HMVWMWWHMa **"* l> * aww "* HV *»** M *w WWMM **» VB ' B< IM '*»* In the Matter of the Arbitration Between ) Malcolm Gissen, Trustee Claimant ) ) Case 188-00770 vs. ) Award Thomson McKinnon Securities, Inc. Respondent Robert S. Johnson On April 18, 1989 and May 16, 1989, the undersigned arbitra

Fred K. Thomson, ) Claimant ) v. ) Case No. 88-00762 Edward D. Jones & Co. ) Respondent ) PROCEDURAL SUMMARY On March 8, 1988, Fred K. Thomson filed with the National Association of Securities Dealers, Inc. (hereinafter "NASD") a Statement of Claim asserting a cause of action against Edward D. Jones & Co. (hereinafter "Respondent"). A Statement of Answer was filed with the NASD on May 8, 1988 by the Respondent. Uniform Submission Agreements

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between A. J. Parker, Claimant vs. Sonia D. Scnulte, Respondent CASE #88-00754 AWARD The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent as set forth in a submission to arbitration signed by the Claimant on April 15, 1988 and not signed by the Respondent as required u

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Gary T. Bolt, Respondent Case Number: 01-03221 Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Claimant: Kevin M. Gleason, Esq. Diane C. Fischer, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Reynolds Williams, Esq. Willcox, Buyck & Williams Florence, South Carolina CAS

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) DR. KLAUS KALTHOFF ) Claimant } and } ) CASE NO. 38-00750 NEW ENGLAND SECURITIES CORP. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on February 24, 1988 and an Amended Statement of Claim filed with the NASD on December 5, 1988, Claimant Dr. Klaus Kalthoff ("Claimant") alleged that Respondent New England Securities Corporatio