NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charleen Standley Claimant ) vs. ) AWARD Kidder, Peabody & Co., Inc. Respondent ) CASE NO. 89-01907 SUWARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on July 3, 1989. Claimant alleged fraud, breach of fiduciary duty, negligence, violations- of NASD and exchange rules, and securities law violations. Specifi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration ) Between ) Mark T. Forish, ) CASE 189-01904 Claimant ) AWARD vs. ) Peter D. Knight ) New England Securities Corporation,) Respondents ) CASE SUMMARY Claimant Mark T. Forish alleged the Respondents Peter D. Knight and New England Securities Corporation improperly invested monies received from Forish's "qualified" pension plan into a "non-qualified",

FEB 15RGCQ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert S. Ford vs. Claimant First Investors Corporation Walter Selva Respondents AWARD #89-01897 Case Summary Claimant alleged that Respondents misrepresented two securities investment plans to him and alleged that the plans failed to produced the results promised by the Respondents. Respondents maintained that no misrepresentation

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Susan M. Anderson vs. Claimant(s) 89-0189.5 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Susan M. Anderson alleged that Respondent(s) Prudential-Bache Securities, Inc. committed unauthorized and unsuitable transactions with respect to Claimant's investment. Respondent(s) denies Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between KARL, GUNTER AND ARNO PENZIAS. Claimants. vs . ) Case No. 39-01893 ) Award ALLIED CAPITAL GROUP, INC., ED FAY AND DALE DARGIE, vs ALDO D. RODRIGUEZ, Respondents , Third .Party Respondent. Heard before the Arbitrator: Guthrie F. Crowe CASE SUMMARY This claim was filed with the NASD, Inc. on July 3. 1989. The hearing was co

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Northwest Netex Pension Trust Claimant vs. Case 189-01892 AWARD Gilbraltar Securities Company Respondent CASE SUMMARY Claimant Northwest Netex Pension Trust alleged that on October 1, 1987 it instructed Respondent Gilbraltar Securities Company to liquidate its investment in the Putnam Option Income Trust II Fund. Claimant alleged that Respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02712 ^ Tyrolean Investment Properties, Inc., and Thomas F. Preston, claimants vs. Charles Schwab, Ron DeCosta, and Geri Allison, respondents. ATTORNEYS: For Claimants Tyrolean Investment Properties, Inc. ("Tyrolean"), and Thomas F. Preston ("Preston"), appeared Thomas F. Preston, President of Tyrolean Investment Properties, Inc., Phoenix, AZ. For Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) JAM SCHtflTZ ) Claimant ) v. ) NASD Mo. 89-01891 STUART-JAMES COMPANY, I.'.'C. ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about June 30, 1989, Claimant Janice Schmitz ("Schmitz") alleged that Respondent Stuart James Company, Inc. ("Stuart James") violated the New Mexico Securities Act engaged in unfair trade practices, fraud, b

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eimni H. Fischl, tte 1987 Fiscal Living Trust Claimant(s) vs. Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01881 CASE SUMMARY Claimant(s) Emmi H. Fischl, tte 1987 Fischl Living Trust alleged that Respondent(s) Charles Schwab & Co., Inc. provided erroneous information to Claimant and then refused to cancel order in ac

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stifel, Nicolaus & Co. Claimant(s) vs. 89-01879 Tom G. Bay Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Stifel, Nicolaus & Co. alleged that Respondent(s) Tom G. Bay has not paid Claimant an overdue debit balance held with Claimant. Respondent(s) denies Claimant allegations. RELIEF REQUESTED Claimant(s) Stifel, Nic