Award NASD Dispute Resolution In the Matter of the Arbitration Between: William P. Franzese, Sr. (Claimant) vs. A. G. Edwards & Sons, Inc. (Respondent) Case Number: 03-07494 Hearing Site: Boston/Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William P. Franzese, Sr., hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Reed & Giordano, Boston, MA. Previously represented by Darren Blum, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace Fraser, Executrix for The Estate of Thomas M. Fraser, and Grace M. Fraser, Trustee of the Thomas M. Fraser Trust (Claimants) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 05-00927 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Grace Fraser, Executrix for the Estate of Thomas M. Fraser ("Esta

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Timothy Behany (Respondent) Case Number: 06-00269 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Daniel S. Fiore, Esq., and Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Decarolis (Claimant) vs. The Concord Equity Group, LLC and Carl Cherasia (Respondents) Case Number: 05-05569 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Alan Decarolis hereinafter referred to as "Claimant": Howard J. Schwartz, Esq., Porzio, Bromberg & Newman, Newark, NJ. Respondent The Conc

NATIONAL ASSOCIATION OF SECURITIES DEALERS in "he Matter of the Arbitrafon Between Mark Sharon Cla ••nant Shearson Lehman Brothers, Inc. a;k/a Shearson American Express, Inc. Respondent AWARD =89-00965 Case Summary Claimant Mark Sharon a'leged that Respondent Shearson Lehman Brothers, Inc. induced him to purchase stocks on margin that created losses to the Claimant when these allegedly unsuitable stocks were sold without authorizatio

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shailesh Desai and Jayashree M. Paranjape, Claimants Case Number: 99-03410 Vs. Hearing Site: Cleveland, Ohio Fairchild Financial Group, Inc., Bradley D. St. Myer, Jason Michael Cope, Edward J. McCune, and Allen Soles, Respondents. CLARIFICATION An Award was served in this matter on April 4, 2001. Clarification of the Award was thereafter sou

NATIONS ASSOCIATION or SECURITIES DEALERS. INC. "! THE MATTER OF THE -'RblTRATi'/H B£T'-/ccii k'Mv Mavs Claimant vs. Merrill Lynch, Pierc'" 1 , Fenner *. Smith, [nc. Case «89-00915 AWARD CASE SUMMARY In * claim filed with the National Association of Securities Dealers, Inc. on March 27, 1989, Claimant Tony Mays alleged on or before October 22, 1987 he specifically requested that a stop-loss order of $2 or $3 be placed on all stoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael J. Lepore Claimant(s) vs. Cavid Alfieri and Power Securities Cor-. Respondent(s) NOTICE OF ARBITRATION AWARD 89-008SS CASE SUMMARY Claimant (s) Michael J. Lepore alleged that Respondent ( s ) Eavid Alfieri and Fewer Securities Corp. failed to honor a prcr-ise to reimburse Claimant. Respondent ( s ) maintain that they never promised zo

NATTQvy. HSSOCIflTTQN QF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATE BETWEEN Cowen & Company Claimant vs. Henrv Stojowski Respondent "S. Viceroy International Securit'^s •\vin Bakal Sobert Onesti Respondents Case =89-00726 AWARD CASE SUMMARY Claimant Cowen & Company (" ("Stojowski") maintained a ma- Corp. ("Viceroy") which was c ; and for which Cowen extended - deposit sufficient funds in h

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Stephen R. & Winifred H. Gregory Claimants ) vs. ) AWARD Shearson Lehman Hutton, Inc. and Respondents ) CASE NO. 39-00670 Harry J. Stamatis ) SUWARY OF ISSUES This case was filed with the National Association of Securities-Dealers, Inc. ("NASD") on March 3, 1989. Claimants alleged the following: lack of suitability, unauthorized trading and excessive trading