NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carole B. Williams vs. Claimant Philips, Appel & Walden, Inc. Robert Petrocine Respondents Case #89-00221 AWARD CASE SUMWRY Claimant, Carole B. Williams, alleges that she told Respondent Robert Petrocine, the registered representative with Respondent's firm Philips, Appel and Walden, Inc., that she wanted to invest $50,000.00 in a safe, secure a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between ) ; --.-( - ) f *>• *_* ' Claimants ) Award \>r* '•vrti -f\ ) NASD if vs. ) ) Respondents ) SUMMARY OF ISSUES I This case was filed on 'Jrm^rt.ut ?.? '•?£< ?. . _ CJr.iimOJ\ ' 3 U ~: /. n ^tO cA -_T ^ r.' 4ci> j.tr/. A ^ -> ^ ..Vy .-,t^ o(/^, VT?-^ A./JL DAMAGES AND RELIEF REQUESTED •••//

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald Ungar Iris Ungar Claimants vs. Kidder Peabody & Co., Inc. Mark Wildman Gerrard Harris Respondents CASE #89-00147 AWARD CASE SUMMARY Claimants Donald and Iris Unger (the "Ungers") allege that Respondents Kidder, Peabody & Co., Inc. ("Kidder. Peabody"), Mark Wildman ("Wildman"), and Garrard Harris ("Harris") placed the lingers on a

1ATIUNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George P. Ballas and Ann T. Ballas Claimants vs. Oppenheimer and Company, Inc. Chester Rothman - Respondents AWARD Case #89-00122 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1989 Claimants George P. Ballas and Ann T. Ballas alleged that the recommendations made by the Respondents were un

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Elizabeth A. Read ) ) •Uaimant ) and ) A H A R D ) 89-0090 Broadcort Capital Corporation ) ) Respondent ) SUMMARY In a claim filed on or about January 5, 1989, the Claimant alleged that Broadcort Capital was negligent in the manner in which it cleared and reported the Claimant's stock sale transaction to the Claimant's broker- de

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between) ; LINDA MAPOOJJFY ) ) Claimant } and ) ) CASE NO. 89-00013 BOETTCHCR I COMPANY ) FRANK IIEG AND KRIS HAGER ) Respondents ) CASE SUMMARY In a cU1m filed on or about January 20, 1989 the Claimant alleged that Frank Zfeg, a representative of Botttchtr & Co. presented her with proposed investments in mutual 'unds which would provide a minim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Charles Schwab & Co., Inc. VS. Jamie Kelly Farris, an individual and Tax Advantaged Corporation - Claimant(s) Respondent (s) Investments ) ) ) ) ) ) ) ) ) ) ) ) ) ) ) AWARD CASE #89-00023 Heard before the arbitrator: Walter Hitchcock SUMMARY OF ISSUES This case was filed on January 4, 1989. Claimant alleged that Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of-Claimant Vizcaya Capital Association, Ltd. Case No. 99-03407 Names of Respondents Dean Witter Reynolds, Inc. Isabelle N. Roux REPRESENTATION OF PARTIES For Vizcaya Capital Association, Ltd. ("Vizcaya"), hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Dean Witter Reynolds, Inc. ("Dean

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Martin J. Fliegel and Rocheile Fliegel, (Claimants) vs. Charles Schwab & Co., Inc., (Respondent) Case Number: 00-01111 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Martin J. Fliegel and Rocheile Fliegel, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Charles Schwab & Co., Inc., hereinafter referred to as "Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Toledo Edison Federal Credit Union Claimant VS. Merrill Lynch Pierce Fenner & Smith, Inc. Joseph K. Grossman^ Respondents CASE #89-00012 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 13, 1989, the Claimant, Toledo Edison Federal Credit Union (sometimes referred to as "Credit Union") alle