N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name q Dean I. Ader 88-00270 Name of Respondent s) Frank Grillo Heard before: Name Public/Industry Edward Brunet Public This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on January 21, 1988. Claimant alleged that Frank Grillo, who represented Equities International Corporation and who was apparen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Colby Collier Will jam Collier Claimants vs. } ) ) ) jCa Case #88-00268 Award ) Prudential Bache Securities, Inc. ) Robert Davidson ) Gale Alden ) Respondents ) CASE SUMMARY Claimants allege that Respondents recommended unsuitable investments in United States Treasury strip coupons. Claimants maintain that Respondents

IJATIOHAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between ) ) HALTER PLACKO, TRUSTEE ) Claimant ) v. ) AWARD HORWITZ SCHAKNER & ASSOCIATES, INC. ) NASD NO. 88-00246 and RANDALL C. SCHAKNER ) Respondents } •..>*•- . n Wednesday, April 12, 1989, the undersigned .-heard the controversy between the parties as set forth in submissions to arbitration signed on January 21, 1988 by Claimant Halter Placko,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hartford A. Henry ) Marian Henry ) Claimants ) ) Case #88-00236 vs. ) Award ) Smith Barney Harris Upham & Co., Inc. ) Arnold Schwartz Respondents ) ) On April 18 and May 16, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Hartford A. and Marian Hen

-AMSOL Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 NATIONAL ASSOCIATION OF SECURITIES DEMURS (3 ° 5) 522 ' 7391 In the Matter of the Arbitration Between ) ) NamQ of _fp*invmt(s) ) ) Thomson McKinnon Securities, Inc. ) ) ) ) Case No. 88-00234 ) Name of Respondent(s) ) ) Kerrean Salter ) )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bobby and Joyce Whitt Claimants ) and } A W A R D ) 88-225 Dean Witter Reynolds-. Inc. and Donald C. Dickson ) Respondents ) On Friday, April 28, 1989 in Nashville, Tennessee, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 20, 1988 by Claimants Bobby and Joyce Wh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Colwell Claimant(s) vs. 88-00224 Dean Witter Reynolds, Inc., Steven Behrens and Jerome K. Rumps Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert E. Colwell alleged that Respondent(s) Dean Witter Reynolds, Inc./ Steven Behrens and Jerome K. Rumps failed to execute a liquidation. Respondent(s) maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between , • •• Thomas D. Clark Custodian for Kari Michelle Clark i Claimant vs. Case #88-00212 Award Waddell & Reed, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by parties on January 18, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I In the Matter of the Arbitration Between ) Wedbush Securities Claimant(s) ) vs. ) CASE NO. 88-00200 Soleil Tabaie Respondent(s) ) Heard Before the Arbitration Panel: Aaron Fenton Edmund A. Hamburger Mitchell Green SUMMARY OF ISSUES The claim was filed January 22, 1988. The Claimant alleged that Respondent open an account with Claimant and signed a margin agreement. Claimant alleged t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02721 Robert F. Gallagher and Margaret K. Gallagher, claimants vs. Prudential Securities Incorporated and Richard Woollacott, respondents. ATTORNEYS: Claimants appeared pro se. For Respondents appeared Marcia Williams, Esq., in-house counsel, New York, NY. DATE FILED: May 23, 2001 CASE SUMMARY: Claimant alleged that respondents failed to execute a sell order in a timely manner.