NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-01914 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Louis Lisi Manola Lisi Respondents CASE SUMMARY PaineWebber, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondents and former customers, Louis and Manola Lisi have failed to refund to Claimants a check erroneously deposite

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE 190-01913 AWARD In the Matter of the Arbitration Between Helen B. Tonus Claimant vs . \ Earle J. Beckley Respondent CASE SUMMARY Pro Se Claimant, Helen B. Tonus, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that Respondent Earle J. Beckley churned her account and charged an excessive fee to close out her MFS Lifetime G

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Olga A. Coleman Claimant Case #90-01911 vs . Prudential-Bache Securities, Inc. and Randy W. Brandt Respondent AWARD CASE SUMMARY Olga A. Coleman, in a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1990, alleged that her account executive, Randy W. Brandt, while employed at Prudential- Bache Securities,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01894 AWARD In the Matter of the Arbitration Between Richard and Donna Williams Claimant(s) vs. Kenneth Schave Respondent(s) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 5, 1990 Claimants Richard and Donna Williams, who appeared Pro Se, alleged that Respondent Kenneth Schave, while employed by Hamilton Bohner Inc., sold 72,000

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Sybil C. Mathews ) Claimant ) ) AWARD vs. ) } NASD #90-01886 Dean Witter Reynolds, Inc. ) John Weaver ) Respondents ) SUMMARY OF ISSUES Claimant alleged an unauthorized redemption by Respondents of her Government Plus mutual fund shares and a subsequent unauthorized purchase of High Yield mutual fund shares with the proceeds. Respo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ?,obert L. Frizzeil, M.D., Trustee, Frizzeii Family Trust Claimant AWARD NASD ^90-01884 ?.B. Jameson & Co., Inc. Michael Langheinrich and Russell Haden Respondents REPRESENTATION Claimant, Robert L. ?ri_zzel 1, M D ; Trustee, v:as represented by Robert L. rrizzell. Respondents ?.B. Jameson & Co., Inc. and Russell Haden were represent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Michael Mitcham Claimant vs. Atlanta Securities & Investments Inc., Fred H. Jones Jr. Richard L. Jackson Charles L. Bradley Timothy Garrett McNally Rollo Frederick Ingram I William Jackson Blalock Respondents Award Case #90-01882 Heard before: Sidney R. Barrett Hartwell D. Hooper Lisa 0. Brinkley Public Arbitrator Pub

N.A.S.D. AWARD NATICNRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Max A. & Josephine A. Gewait 90-01869 and FS Group Advisory Inc. a/k/a Consulting, Joseph A. Ballarino r and Financial Network Investment Corporation Claimants Max A. and Josephine A. Gewait were represented by Stephanie W, Kanwit, Esq. of Latnet, Kanwit & Davis, Chicago, Illinois. Respondents FS- Gcoup Advisory Inc. a/k/a Consulting, J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number- 00-04804 Merrill Anne Carlson Name of the Respondents Hearing Site: Charlotte, North Carolina Merrill Lynch, Pierce, Fenner & Smith, Inc., David Nathaniel Vaughan, Milton Hughes Bates, Jr., and Steven Ray Hill RFPRF.SKNTATTON OF PARTIES Claimant Merrill Anne Carlson, hereinafter referred to as "Claimant", was represented by Michael E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between } ) Mid-Exchange, Inc. ) Claimant ) ) AWARD vs . / ) NASD #90-01867 Prudential-Bache Securities, Inc. ) Respondent ) Claimant was represented by Michael A. Firestein, Esq., of McCambridge, Deixler, Marmara & CMdberg, Los Angeles, California. Respondent was represented by Michael M. Gless , Esq., of Keesal Young & Logan, Long Beach, Calif