N.A.S.D. AWARD *• NATIONAL ASSOCIATION OF SECURITIES DEALERS __ _____ «t ___ In the Matter of the Arbitration Between Name of Clai Eugene Solomon 94-00243 Name of Respondent^ Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1994, Claimant Eugene Solomon, who appeared Pro Se, alleged that Respondent Fidelity Investments misrepresented Fidelity Purit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" E*Trade Securities, toe. .' ' ; \ , . 94-00241 Name jOf Respondents Chris Hillman . , Brian Pringle CASE SUMMARY In a claim filed .with the National Association of Securities Dealers, Inc. on January 20, 1994, Claimant E*Trade Securities, Inc. ("BTrade"), through its representative Tom Laris, alleged that Respondents Chris Hillman and Brian

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ si Tina Lynn Blaisdell 94-00239 Name of Respondent! s) Robert Amico Jon Francis McDermott CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 21, 1994, Claimant Tina Lynn Blaisdell who appeared Pro Se, alleged that Respondent Jon Francis McDermott of Investors Associates misre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Harrison Hills School District 94-00235 Name of Respondents Hart Securities, Inc. Kenneth Schulte REPRESENTATION Claimant The Harrison Hills School District was represented by Michael S. Yashko, Esq., Worthington, Ohio. Respondent Hart Securities, Inc. was represented by Paul S. Francis, Esq., with the law firm of E

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kemper Securities. Inc. and NASD Case Number 94-00228 Bryon Jorgensen REPRESENTATION OF PARTIES Claimant, Kemper Securities, Inc. was represented by Michael Kraft, Esq. and Diane C. Fischer, Esq. of Gomberg Kane & Fischer, Ltd. located in Chicago, Illinois. Respondent, Byron G. Jorgensen was represented by Catherine A. Gnatek, Esq. of Dorsey & Wh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Wayne W. and Lillian A. Clark 94-00226 GKN Securities Corporation Robert D. Tucker Lawrence Principato Andrew Gaspano For Claimants, Wayne and Lillian Clark ("the Claries"): Russell L. Forkey, Esq. of Dumar, Curtis, Cross, Laystrom & Perioff, P.A., Miami, PL. For Respondents, GKN Securities Corp. ("GKN") and Andrew Gaspano ("Gasparr

N.A.S.D. AWARD NATTQMAL ASSOCIATION OF SECURITIES DEALERS Tony Wood, Claimant, v. No. 94-00221 Robert Todd Financial Corporation, Al Bordeaux, and Wertheim Schroeder & Co. Respondents REPRESENTATION OF PARTIES Claimant Tony Wood ("Claimant") was represented by Jeffrey Weston Shields, Esq., of Purser & Edwards',-Salt Lake City, Utah. Respondent Robert Todd Financial Corporation {"Robert Todd") was represented by Leslie K. Case, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold D. and Nbnna L. Pease 94-00496 N,ame of Respondents Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 8, 1994, Claimants Harold D. and Nonna L. Pease, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. misrepresented certain

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS « In the Matter of the Arbitration Between Name of Claimant Frederick H. Boehm 94-00495 ^ Name of Respondents Charles Schwab & Company, Inc. Michael Knight CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 9, 1994, Claimant Frederick H. Boehm, who appeared Pro Se, alleged that Respondent Michael Knight of the Respondent Fir

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Gunnar & Company, LLC, (Claimant) vs. John P. Martinos, (Respondent) Case Number: 01-02932 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Gunnar & Company, LLC, hereinafter referred to as "Claimant": Carolyn D. Royer, Chief Compliance Officer, Joseph Gunnar & Company, LLC, New York, NY. Previously represented by: Gregg R. Evangelist, Esq., General