NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gloria Jean Dennis and Georgia Chatman Claimant(s) vs. 88-00614 The Stuart-James Company Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gloria Jean Dennis and Georgia Chatman alleged that Respondent(s) The Stuart-James Company made misrepresentations and failed to execute trades. Respondent(s) maintain that before Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Ungar (Claimant) v. McLaughlin Piven, Vogel Securities, Inc., Sean Davis, James Joseph McLaughlin, Sr., James Cecil McLaughlin, James Michael Kennedy and Edward Thomas Brienza (Respondents) Case Number: 01-03194 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Susan Ungar, hereinafter refer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between ) ) GARY OZGA, ) Claimant, ) ) Case 188-00591 vs. ) Award ) GRAYSTONE NASH, INC., SEAN BOYLE ) and OEHNIS WILLIAMS, ) Respondents. ) Heard before the members of the Arbitration Panel: Arieh Leo Douer Harvin A. Berkowitz. M.D. Joseph M. Luby CASE SUMMARY This clain was filed with the NASD, Inc. on February 24, 1988. The hearing wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gary C. & Karen A. Mandernach Claimant(s) vs. Stern Brothers & Co., Inc. Respondent(s) AWARD 88-00583 The Arbitrator, , 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 February 16, 1988 and June 8, 1988, respectively

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sandra J. Binder Claimant vs. / ) Case #88-00559 Award Shearson Lehman/American Express, Inc. Respondent On April 24, 25 and 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Sandra J. Binder and by Respondent Shearson Lehman/American Express, Inc. The arbitr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Perry C. Hisken, Jr. Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) AWARD 88-00556 The undersigned, 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 February 5, 1988 and April 11, 1988, respectively; And

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen Visakay Frank Visakay AWARD vs. Case #88-00548 Stanley A» Aslanian L.F. Rothschild and Co., Inc. Case Summary Claimants Stephen Visakay and Frank Visakay alleged the Respondent Stanley Aslanian executed transactions in Claimants account without obtaining authorization from the Claimants and failed to follow instructions to execute a sell order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Paul Stottsberry and Patricia Stottsberry, ) Claimant, ) ) Case #88-00546 vs. ) Award ) William B. Barton and ) E.F. Hutton and Co.. Inc., ) Respondent. ) Heard before the Arbitration Panel: George S. Coit Jr., Esq. Mr. Louis Saxton On May 4, 1989, the arbitrators heard the controversy between the parties as set forth in submissions

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Keith K. Stocker and Deborah A. Stocker ) ) •Claimants ) CASE NO. 88-00540 and ) A W A R D ) Edward D. Jones & Co. and Gary Peart ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on February 22, 1988, the Claimants Keith K. and Deborah A. Stocker, (" the Stocker's") alleged that Respondents Edward D. Jones and Co., (" Edward D.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I In ;~he Matter of the Arbitration Between/Among Vinr.ent J. Coppola and Helga Coppola Claimants vs. Charles Schwab & Co., Inc., Dennis Avelli, Michael Duffy, Robert William Fivis and La-vrence John f-tupski Respondents Case #88-00535 Award V,M.J!_ J'71'll'IHfM Claimants Vincent and Helga Coppola (hereinafter the "Claimants"), alleged that Respondents, Charles Schwab & Co.