Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 01-02719 Names of Respondents A. Tech Investments, Inc. Andy Blassingame Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Wachovia Securities, Inc. ("Wachovia"), hereinafter referred to as "Claimant": Pamela P. Pearson, Senior Vice President and Deputy General Counsel, Wachovia, Charlotte, North

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between W. Donald Burnett and Claimants ) Award D. Elaine Burnett ) NASD #88-00176 vs. ) PaineWebber, Inc. and Respondent Robert Bernard SUMMARY OF ISSUES Claimants filed this action on January 20, 1988 against Respondents and alleged fraud, negligent misrepresentations, breach of fiduciary duty and constructive fraud. Specifically, Claimants alleged that i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marsha F. Raleigh, Individually, and as Executrix for the Estate of Eugene Raleigh Claimant(s) vs. Planned Investments, Inc. Karen J. Knizley CASE #88-00174 AWARD Respondent(s) CASE SUMMARY Claimant filed this claim on January 13, 1988 and alleged that Respondents fraudulently induced Claimant to sign documents authorizing the investment.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Paolina vs. Steinberg & Lyman Joseph J. Cataldo Claimant Respondents CASE 188-00173 AWARD CASE SUMMARY Claimant alleges Respondent Steinberg & Lyman failed to execute a buy order for 100 shares of Criticare Systems, Inc. and instead ordered a buy for 5000 shares of Medinet, Inc. Claimant further alleges Respondent Steinberg & Lyman fai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JOHN R. BAUERLE ) • j Claimants ) CASE NO. 88-00165 and ) A H A R D SHEARSON LEHMAN BROTHERS, INC. ) Respondents ) CASE SUMMARY Claimant, John Bauerle ("Bauerle") alleged the Respondent, Shearson Lehman Brothers, Inc. ("Shearson") 1) changed claimant's account from cash to margin without claimants permission; 2) made stock purchases on margin f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Hatter of the Arbitration Between Stanley J. Sanders Claimant Case #88-00163 vs. AWARD Gladstone Securities, Inc., Adler, Coleman & Co., Inc. and Barton Bereck Respondents • •rwM«*»M«»*Wte»W«»**WHW«to«WW< ftw«V«*VWWM»*W~«w*«»i CASE SUMMARY Claimant Stanley J. Sanders alleged that Respondent Gladstone Securities, Inc., acting through Respondent Barton Bereck, executed three unauth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) Brent and Teri Longnecker ) Claimant ) v. ) NASD No. 88-00159 Prudential Bache Securities, Inc. ) Frank J. Schmitt ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 19, 1988, Claimants Brent and Teri Longnecker ("the Longneckers") alleged that Respondents Prudential Bache Securities, Inc. ("Prudential Bache") and Frank J. Sch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Birgitha & Stuart Tray & Tray Associates Claimants vs. Shearson Lehman Hutton, Inc./American Espress Harvey Deutsch Respondents ) Case #88-00147 Award On February 22, 1989 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Birgitha & Stuart Tray & Tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Christopher Bailey, ) Claimant, ) ) Case /88-00143 vs. ) Award Smith Barney Harris Upham Co., Inc. and ) John T. Trafford, ) Respondent. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Norris L. Friedlander Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 15, 1988. The hearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) CRAIG M. NELSON Claimant and FIDELITY INVESTMENT & NATIONAL FINANCIAL ) SERVICES CORPORATION ) Respondent } ) CASE NO. 88-00140 CASE SUMMARY Craig M. Nelson ("Claimant") alleges that Fidelity Investment and National Financial Services ("Respondents") executed claimant's order and closed out two positions which were: Long 3 November XMI 460 puts and