N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cla;in»nt-.fgi Eleanor DeNunno 90-01139 Name of Respnrvteni-f s | Merrill Lynch, Pierce Fenner & Smith Inc Mitchell J. Siverston Michelle Siverston In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1990, as amended on May 1, 1990, Claimant Eleanor D. DeNunno alleged that Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sami G. Naber and Wafa S. Naber, (Claimants) vs. Goldman, Lass Securities, Barry Sheldon Lass, and Rimon S. Dahdal, (Respondents) Case Number: 00-04771 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Sami G. Naber ("S, Naber") and Wafa S. Naber ("W. Naber"), hereinafter collectively referred to as "Claimants": Jenice L. Malecki, Esq., The Law Office of Je

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: RICHARD AND DONNA BOLGER CLAIMANTS V. £90-01126 MUTUAL SERVICES CORPORATION RESPONDENT AWARD CASE SUMMARY The Statement of claim was filed with the NASD, Inc. on April 19, 1990. Claimants, Richard and Donna Bolger alleged that they were unsophisticated investors when , Respondent , Mutual Services Corporation, failed to fully inform them of

Arbitration __ _ - _ xun — National Association of N.A.S.D. AWRRD Securities Dealers, Inc. __ NASD Financial Center NATICKHi ASSOCIATION OF SBCDRITIES DEMURS 33 Whitehall Street _ _^_ New York ' N - Y - 10004 In the Matter of the Arbitration Between FAX < 21 2) 858-4389 Q£ Alex C. Darnell 90-01125 Legg Mason Wood Walker, Inc. For dainent Alex C. Yarnell ("daisant*}: David Weinstein, Kbhn, S

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frederick S. Mauersberg and Catherine M. Mauersberg Claimants vs. E.F. Hutton & Co., Inc., Dean Witter Reynolds, Inc., and Franklin L. Grey Respondents x x x x x x CASE NO. X 90-01124 x x AWARD x X X X CASE SUMMARY Claimants, Frederick S. Mauersberg and Catherine M. Mauersberg ("Claimants"), allege

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of the Arbitration Between ) Roger Troyan ) Claimant ) ) Case #90-01119 vs. ) Award Fidelity Brokerage Services, Inc. ) Respondent ) CASE SUMMARY Claimant, Roger Troyan ("Claimant") alleged that Respondent , Fidelity Brokerage Service

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond W. Pawley vs. Claimant The Stuart-James Co,, Inc. Edgel Groves Respondents Heard before: James G. Killough Ellwood F. Oakley, III Chris S. Guerin CASE# 90-01118 AWARD Public Arbitrator Public Arbitrator Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on A

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Janet Goodwin Claimant(s} vs. 90-01113 William Schreyer, Joseph A. Stoll and Anthony S. Tedtaotao Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Janet Goodwin alleged that Respondent(s) William Schreyer,, Joseph A. Stoll and Anthony S. Tedtaotao failed to invest Claimant's funds in the securities specified by Claimant, assu

N.A.S.D. AWARD NHTICNftL ASSOCIKTICN OF SECURITIES DEftlERS In the Matter of the Arbitration Between David & Carol Swartz 90-01109 Oppenheimar & Co., Inc. and Lee Aznster David Swartz and Carol Swartz ware represented by Matthew R. Garey, Esq. of Matthews, Carlton & Stein r Dallas, Taxas. Oppenheimer & Co*, Ire. and Lse boater were represented by Joel H9ld r Esq. of Mantoff, Hill, Held & Goldberg, Dallas, Tfexas. In a Statement o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC IN THE MATTER OF THE ARBITRATION BETWEEN Stephen Rinaldi and Theresa Rinaldi r Claimants Case: 90-01106 vs . F.S.G. Financial Services Group Inc. AWARD John Labeck David Flanzer Robert Stelz Respondents CASE SUMMARY Claimants allege that the respondents failed to enter and execute trades as instructed. Further, they allege that margin and option agreements were forged, and that