NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) George F. Hart, IV ) Claimant ) and ) A W A R D ) Dean Witter Reynolds, Inc. ) 88-00379 Respondent ) CASE SUMMARY In a claim filed with the NASD on or about February 5, 1988, Claimant George F. Hart, IV ("Hart"), a 51 year old blind man, alleged that Respondent Dean Witter Reynolds, Inc. ("Dean Witter") engaged in speculative and excessiv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN DAVIS ) Claimant ) v. ) ) CASE NO. 88-00331 PERSHING DIVISION OF DONALDSON, ) AWARD LUFKIN AND JENRETTE AND QUICK & ) REILLY CLEARING CORP. ) Respondent(s) ) On May 4, 1989 in St. Louis, Missouri, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 18, 1989 by

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between THOMSON MCKINNON SECURITIES, INC. Claimant and GARY E. SMITH, as Trustee for the GARY E. SMITH, II Trust and GARY E. SMITH, II Respondent ) CASC NO. fla-flojgg • I I I7> ^< r r:o CASE SUMMARY In a Statement of Claim filed with the NASD on February 1, 1988, Claimant Thomson McKinnon Securities, Inc. alleged that Respondents failed to p

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association < Securities OMtorsr ln> NASD Financial Centt 33 Whitehall Street New York, New York ' William P. Kirby vs. Marges of Respondents Dean Witter Reynolds, Inc. Gregory Peterson Names of Tfr-i rd-Par Dean Witter Reynolds, Inc. Gregory Peterson vs. Francis Fraine Case # 88-00322

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) MYRTLE BAUER ) Claimant ) AWARD v. ) NASD NO. 88-00313 WALTER WARD & MERRILL LYNCH, PIERCE ) FENNER & SMITH, INC. ) Respondents ) On May 24, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 29, 1988 by Claimant Myrtle Bauer, on June 27, 1988 by Francis C. Musselm

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rev. Everett A. and Eleanor S. Ostrom Claimant(s) vs. 88-00311 Sandy Deatherage Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Rev. Everett A. and Eleanor S. Ostrom alleged that Respondent Sandy Deatherage neglected to inform them of the 4.9% transaction fee deducted from their government mutual fund. Respondents maintain that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) DANIEL F. WITHALL and DANIEL E. WIIHALL } D.V.M., P.C. ) Claimants ) NASD NO. 83-00305 v. ) LINDA L. SOKOL and WADDELL & REED, IN. } Respondents ) CASE SUMMARY Daniel F. Withall and Daniel F. Withall, D.7.M., P.C. ("Claimants") alleged that Linda Sokol, who was his bookkeeper and also a registered representative with Waddell & Reed (Sokol and Wa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dale Sattar "" Claimant vs. Eastern Capital Securities, Inc. Eastern Capital Corporation, Inc. Securities Settlement Corp. Lawrence Baras Respondents CASE #88-00299 AWARD CASE SUMMARY Claimant Dale Sattar alleged that Respondents Eastern Capital Securities, Inc. (hereinafter "ECS") illegally dealt with Claimant by encouraging him to trade

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arthur & Gladys Freilich 88-00285 Claimant vs. OATH AND AWARD OF ARBITRATOR SBT Brokerage Services, Inc. Respondents Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02725 Anthony J. Mirigliani and Lucille T. Mirigliani, JTWROS Names of the Respondents Hearing Site: Tampa, FL James Haught, Keith Kline and Raymond James & Associates, Inc, REPRESENTATION OF PARTIES Anthony J. Mirigliani and Lucille T. Mirigliani, JTWROS, hereinafter collectively referred to as "Claimants," appeared pro se. For Respondent James Haught ("