N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sean K. Fitzpatrick 94-02104 Name of Respondents Valley National Investments, Inc. Thomas M. Riddle REPRESENTATION For Claimant Sean K. Fitzpatrick ("Claimant"): Timothy F. Demers, Esq. of the lav firm of Stevens & Lee. For Respondents Valley National Investments, Inc. and Thomas H. Riddle: Thomas M. Riddle, President o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard J L Pistone Claimant(s) vs. 88-01920 Profile Investments, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Richard J. Pistone alleged that Respondent Profile Investments, Inc. negligent grossly mishandled Claimants account with Respondent brokerage firm. Respondents deny all allegations made by Claimant. REL

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Anne Zajac ) ) Claimant ) and ) AWARD ) Case No. 88-01918 Merrill Lynch Pierce Fenner & Smith, Inc.; ) Prudential Bache Securities, Inc. ) Respondent(s) ) ) CASE SUMMARY Anne Zajac, Claimant, alleges that Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent Merrill") and Prudential Bache Securities, Inc. ("Respondent Bache") purc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roger Coe, (Claimant) vs. Tucker Anthony Incorporated, Thomas J. Nash, Robert M. Carlson, and Marc Menchel, (Respondents) Case Number: 01-03152 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Roger Coe, hereinafter referred to as "Claimant": Geoffrey W. Millsom, Esq., Adler Pollock & Sheehan P.C., Providence, RI. Respondents, Tucker Anthony Incorporated (

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Gerald Stuckelman Claimant vs. Case 188-01915 AWARD Blinder Robinson & Co., Inc. Neil Linden Respondents CASE SUMMARY Claimant, Gerald Stuckelman alleged that Respondents, Blinder Robinson & Co., Inc. and Neil Linden sold stock in his cash account and issued a check to him for the proceeds. Thereafter, Claimant alleged that Respondents deman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Michael T. Long and Stephen E. Gershwind Co-Trustees Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Hummer Respondents Award ) NASD No. 88-01910 Merrill Lynch, Pierce Fenner & Smith, Inc. and Thomas Hummer Third Party Claimants and Cove Mortgage Company and TRI-AD, The Research Institute of Administration, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dominick S. and Rose Marie Rocco Claimant(s) vs. Stuart James Investment Bankers and Barry Gershberg Respondent(s) AWARD 88-01908 The undersigned being the Arbitrator 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 June 10,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between VS. Claimant* ) Award NASD # ) Respondents ) SUMMARY OF ISSUES This case was filed on -T^CF (* ttSg> C«-/>. t -m TO (_tO»-«.»i>M-Tf DAMAGES AND RELIEF REQUESTED ^l^^^^. 00 DAMAGES AND RELIEF AWARDED On '*"-•-& ^vr 2. the undersigned arbitrators heard the controversy in o^g sessions; between the parties as set forth in

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reoinald and Oneida S. Lee Claimant (s~) vs. Rachel Haft, Mario lannacc, Terri Rubino (Dime Savings Bank) and Invest Respondent(s) NOTICE OF ARBITRATION AWARD 88-01906 CASE SUMMARY Claimant Reginald and Oneida S. Lee alleged that Respondents Rachel Haft, Mario lannacc, Terri Rubino (Dime Savings Bank) and Invest did not stay in. communication

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A. Westcott Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Lyle Schultz Respondents Case 488-01897 AWARD CASE SUMMARY Claimant, George A. Westcott, contends that Lyle Schultz, a financial advisor with Merrill.Lynch, Pierce, Fenner & Smith, Inc., recommended that he invest over three quarters of his portfolio in Safecard Services