N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Lynn Schroeder Nanko 87-00538 Rnnrtenf :t a Prudential-Bache Securities Inc. Dcminic Fama Allan R. Campbell Claimant represented herself. Respondents were represented by Timothy Will of the law firm of Keesal, Young and Lagan. This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants/CounterRcspondents Case Number: 01-02708 Russell J. Effrig and M. Bridget Effrig, JTWROS Respondents/CounterClaimants Hearing Site: Chicago, Illinois Merrill Lynch Pierce Fenner & Smith and Terri B. Ucci REPRESENTATION OF PARTIES Claimants/CounterRespondents, Russell J. Effrig and M, Bridget Effrig, JTWROS hereinafter collectively referred to as "Effrig": C. Phil

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kenneth E. Lang, Claimant v. Murphy & Durieu, Kimberly Misuraca and Steven Cavagnaro, Respondents Case Number 00-00895 REPRESENTATIVES OF PARTIES For Claimant, Kenneth Lang: Charles S. Ferguson Seattle, Washington For Respondent, Murphy & Durieu and James E. Nealon Steven Cavagnaro Kelley Drye & Warren LLP New York, New York For Respondent, Kimberly Misu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) HELEN SCHROEDER ) Claimant ) v. ) CASE NO. 87-00445 ) AWARD SMITH BARNEY HARRIS UPHAM & CO., INC. ) RAUSCHER, PIERCE, REFSNES, INC. AND ) ARV VILUTIS Respondents On August 3, 1988, December 9, 1988, March 2, 1989 and March 8, 1989, in Houston, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carl J. Ferreira Claimant VS. Oean Witter Reynolds, Inc. and Veronica McNulty Respondents Case 186-00360 AWARD CASE SUWARY The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to Arbitration signed by the Claimant, Carl J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald W. Fritz and Kathleen A. Fritz Claimant(s) vs. 87-00437 Blinder, Robinson & Co., Inc. vs. Keith Daubenspeck Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald W. Fritz and Kathleen A. Fritz alleged that Respondent(s) Blinder, Robinson & Co., Inc. failed to execute Claimants' sell order. Respondent(s) denies Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Keyvan Pourmehr ) Claimant ) ) AWARD vs. ) ) NASD NO. 87-00426 Charles Schwab & Co. ) Shearson Lehman Brothers, Inc. ) Merrill Lynch, Pierce, Fenner & Smith, Inc. ) Jeffrey Miller ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on March 31, 1987. Claimant alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Raymond Brom, Ann J. Brom and ) Frances Mae Brom Claimant(s) AWARD vs. CASE NO. 87-00335 Creative Securities Corp., ) Dan Giedt and Bear Stearns Respondent(s) ) SUWARY OF ISSUES This case was filed on March 12, 1987. Claimants allege that Respondents Creative Securities Corporation and Dan Giedt deceived, misrepresented and induced Claimants to in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD J. GALUSKA, claimant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Respondent. AWARD NASD NO. 87-198 On February 23, 1988, March 2, 1988, April 27, 1988, October 10, 1988 and January 18, 1989 in Chicago, Illinois, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Dorthie Cohen vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Case * 86-01115 Case Summary Claimant, Dorthie Cohen aliened that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. sold her limited partnerships that were unsuitable to her as an investor and without full disclosure to her of the risks of the investment. Respondent, Merrill