N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Richard W. and Joy M. Hamon 93-04201 Name of Respondent Robert H. Taggart, Jr. REPRESENTATION Claimants Richard W. and Joy M. Hamon ("Claimants") were represented by John P. Connolly, Esq., Alexandria, VA. Respondent Robert H. Taggart ("Respondent") was represented by James C. Cosby, Esq., Maloney,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Martin 0. Wolf ) } Claimant ) and ) A W A R D ) First National Brokerage Services, Inc.; ) 87-2504 Ameritrade, Inc.; ) William Glasz and Michael Bilgere Respondents On Wednesday, May 10, 1989 in Omaha, Nebraska, the undersigned arbitrator heard the controversy between the parties as set forth in submissions to arbitration signed on

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. AWARD CASE NO. 87-02502 Terry L. Ermert and Olina K. Ermert Respondents SUWARY OF ISSUES The claim was filed with the NASD on or about December 8, 1987. The hearing was conducted in San Francisco, California, with a total of two sessions. Claimant ("PaineWebber") asserted that Respondents ("Terry and Olina Ermert")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jane M. and Russlyn M. McGowen ) Claimants ) and ) A W A R D ) 87-02496 E.F. Hutton & Company, Inc. and ) Thomas C. Wilson ) Respondents ) CASE SUMMARY Jane M. McGowen and Russlyn M. McGowen ("Claimants") alleged: 1) that E.F. Hutton & Company's registered representative, Thomas C. Wilson fraudulently induced the Claimants to trade G

ilATIOHAL ASSOCIATION OF SECURITIES DEALEUS, IflC. In the Matter ot Arbitration Between ) > JULIAN B. JEFF BAIR PHILLIPS V. ; Claimant ) ) ) Respondent ) ) NASD NO. 87-02477 CASE SWHARY In a claim filed with the NASD on December 7, 1987, Claimant Julian B. Phillips ("Phillips") alleged that an unauthorized purchase of 1000 units of Utilitech, Inc. was made near the end of November 1986 for Phillips' securities acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elaine Matheos vs. Escalator Security, Inc. Howard and Laura Seal a Thomson McKinnon Securities, Inc. Claimant Respondents CASE 187-02476 AWARD CASE SUMMARY Claimant, Elaine Matheos alleged Respondents, Escalator Security, Inc. and Howard and Laura Scala had churned her account and had purchased securities of doubtful Intrinsic value against

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between ) PaineWebber, Inc. ) Claimant ) ) Case ^87-02473 vs. ) Award ) .John Stanley ) Sandra Stanley Respondents ) vs. ) ) Dean Ledger ) Third Party Respondent ) CASE SUMMARY Claimant alleges Respondents failed to meet margin calls, therefore. Claimant wa forced to liquidated the account resulting in a debit balance of 559,655.00. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Womer Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc. Robert Berry Diane Spencer Respondents CASE #87-02459 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7, 1987 Claimant George Womer alleged the Respondents breached their contractual and fiduciary duties owed to him b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) PAINEWEBBER, INC. and THOMAS T. BRYAN Claimant Respondent CASE NO. 87-02452 AWARD On April 20, 1989 in Minneapolis, Minnesota, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Paul J. Maggio on behalf of the Claimant on December 1, 1987. The Respondent did not answer and did

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02768 Frank Michael Yanez and Candida Yanez, claimants vs. A.G. Edwards & Sons, Inc., and Daniel Joseph Disimile, respondents. ATTORNEYS: Claimants appeared pro se, Playa del Rey, CA. For Respondent A.G. Edwards & Sons, Inc., appeared Matthew R. Salamon, Esq., in-house counsel, St. Louis, MO. Respondent Daniel Joseph Disimile appeared pro se, Woodland Hills, CA. DATE FILED: May