NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the -Matter of the Arbitration Between John E. Schneider Claimant(s) vs. Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03064 CASE SUMMARY Claimant(s) John E. Schneider alleged that Respondent(s) Dean Witter Reynolds, inc. refused to refund margin interest charged on a check that was neither received nor cashed by Claimant. Respondent maintains that

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George N. Kitsopoulos Claimant(s) vs. Quick & Reilly, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03063 CASE SUMMARY Claimant(s) George N. Kitsopoulos alleged that Respondent(s) Quick & Reilly, inc. failed to properly execute Claimant's order to purchase certain securities and subsequently failed to return Claimant's funds on a timely ba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kirk A. Fruth Claimant(s) vs. 89-03061 Thomas V. Ackerly Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kirk A. Fruth alleged that Respondent(s) Thomas V. Ackerly misrepresented the risks associated with certain securities recommended to Claimant. Respondent(s) maintains that he did not manage or supervise Claimant's accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George Matray Claimant(s) vs. Stuart-James Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-03059 CASE SUMMARY Claimant(s) George Matray alleged that Respondents) Stuart-James Co., Inc. acted in an unprofessional, unethical and perhaps illegal manner. Respondent(s) maintain that Claimant's suitability claim is unfounded and the real reas

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Florence Sroilovitz Claimant(s) vs. 89-03058 Murphey Favre,. Inc. Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Florence Smilovitz alleged that Respondent(s) Murphey Favre, Inc. did not execute a sell order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Florence Smilovitz requ

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Mary Ross Claimant ) ) vs . ) AWARD ) Shearson Lehman Button, Inc. ) and Larry Ennis Respondents ) CASE NO. 89-03055 _ ; _ ) O ISSUES This case was filed with the National Association of Securities, Dealers, Inc. ("NASD") on November 1, 1989. Claimant alleged thai. Liie itjconuueuded inves Lmeiics in various mutual funds were not suitabl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Rossin Claimant vs. Gruntal & Company, Inc. Respondent CASE #89-03054 AWARD CASE SUMMARY Claimant alleges Respondent made misrepresentations concerning the return an^ investment on the Keystone Series F4 Fund. Respondent alleges Claimant fully understood and was apprised of the nature of his investment. RELIEF REQUESTED Claimant seeks

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naiqe of Claimant B.C. Christopher Securities Co., Inc. No. 89-03049 Name of .Robert W. Grellner Name of Third- Party Respondents Shear s on Lehman Brothers , Inc . , Robert Ruppert, and Stifel, Nicolaus & Company, Inc. REPRESENTATION OF PARTIES Claimant, B.C. Christopher Securities Company, Inc. -was represented by J. Brett Armatas, Es

Award NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Names of Claimants Frank J. and Rose M. Bancone Nicholas Bancone Case No. 99-02904 Names of Respondents Gruntal&Co., L.L.C. Michael D. McAfee REPRESENTATION OF PARTIES For Claimants Frank J, and Rose M. Bancone and Nicholas Bancone, hereinafter collectively referred to as "Claimants": Richard A. Stephens, Esq., Boca Raton, Florida. For Respondents Gruntal &

NATIONAL ASSOCIATION OF SECURITIES DEALERS 7 In the Matter of the Arbitration Between Samuel Hecht Clairaant(s) vs. 89-03047 Waterhouse Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Samuel Hecht alleged that Respondent(s) Waterhouae Securities, Inc. sold common stock on Claimant's behalf without authorization. Respondent(s) maintain that they acted in Claimant's best interest by conve