NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, IN THE MATTER OF THE ARBITRATION BETWEEN Sandra Greenblatt Claimant vs. Case #89-02472 Award Shearson Lehman Mutton, Inc. and Victor Linell Respondents CASE SUWARY Claimant Sandra Greenblatt alleged that the Respondent Victor Linell opened a margin account for her without adequately explaining the inherent risks involved. The Claimant alleged that Respondent Linell subsequently engaged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Alina M. Riverc ) Claimant(s) ) and ) CASE NO. 89-02464 Shearson Lehman Mutton Inc. ) Respondent(s) ) CASE SUMMARY In a statement of claim filed with the NASD on or about September 5, 1989, Claimant Alina M. Rivero ("Rivero") alleged that Respondent Shearson Lehman Mutton Inc. ("Shearson") violated Section 10(b) of the Securities Exchange Act of 1934 a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among ) ROBERT LOPRIORE, 111 ) Claimant(s) ) Case # 89-02462 ) vs. ) Award ) THE STUART JAMES CO., INC. ) Respondent(s) ) CASE SWWARY —•—^—^——- .» - The Statement of Claim was filed on September 5, 1989. Claimant(s), Robert LoPriore. Ill, alleged that he was an un- . sophisticated investor when he opened accounts. with Respondent, The St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Martha E. Kbessler, Claimant and 89-02458 Martin R. Fishgold, Respondent In a claim filed with the NASD on or about September 1, 1989, Martha E. Koessler ("Claimant") alleged that Martin R. Fishgold ("Respondent") made material misrepresentations and unsuitable recommendations in connection with her purchase of shares of Consolidated Capital In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) BOBBIE E. THOMAS, SR. AND ROZELLA THOMAS and Claimant(s) WADDELL & PEED, INC., PETER COLLINS AND JERRY RICHARDS Respondent(s) Case No. 89-02457 CASE SUWARY In a Statement of Claim filed with the NASD on or about September 5, 1989, Claimants Bobbie and Rozella Thomas ("the Thomas') alleged that Respondents Waddell & Reed, Inc. ("Waddell & Reed"), Pe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert N. White 89-02455 Name of The Stuart James Company, Inc. Anthony Byrne Christopher Murray CASE SUMMARY Claimant Robert N. White alleged that Respondents The Stuart James Co., Inc., Anthony Byrne, and Christopher Murray misrepresented the risks involved in recxmmending securities to him, promised high yield on the misrepresente

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ben H. Zobel Claimant(s) vs. Drexel Burnham Lambert & Cooper/Neff Respondent(s) NOTICE OF ARBITRATION AWARD 89-02446 CASE SUMMARY Claimant(s) Ben H. Zobel alleged that Respondent(s) Drexel Burnham Lambert & Cooper/Neff failed to timely execute trades. Respondent(s) maintain that Claimant's losses, if any, are a result of Claimant's own inv

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Evelyn Hetzler Case #89-02445 Claimant AWARD vs. PaineWebber, Inc. Respondent : CASE SUMMARY Claimant Evelyn Hetzler alleged that Respondent PaineWebber, inc., acting through an employee, deliberately and fraudulently mishandled the Claimant's account by making unsuitable recommendations, churning the Claimant's account, and making various misre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Christopher Peter Veltmann CASE #89-02442 Name of Respondent(s) Securities Settlement Corporation Greentree Securities Corn. Heard before the members of the Arbitration Panel: Allan J. Fedor, Esq. Charles R. Newcomer, Jr. John P. Cullem, Esq. CASE SdHART This claim was filed with the National Association of Secur

AWARD NASD Regulation, tat. In the Matter of the Arbitration Between Michael J. Ngnon "- 02806 Wamfe of Respondent John G. Kinnard & Company, Inc. OF PARTIES Michael J. Norton ("Claimant") was represented by Deris E. Grande, Esq. and Joanne H. Turner, Esq-, Mackall Crounse & Moore, PLC, Minneapolis, Minnesota. John G. K>nnard& Company, Inc. (''Respondent") was representcdby Marko J. Mrkonich, Esq. and Chad W. Strathman, Esq., Littler Men