NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of trie Arbitration Between ) ) WILLIAM H. PYLE ; ) Claimant ) and ) Case No. 85-01641 ) SECURITIES U.S.A., INC., DAVID WILLIAMS, ) JOEL BRODY, SCOTT CAROTHERS, } DEBORAH L. HOOTMAN. AND E.B. WILLIAMSON ) & CO., INC. ) Respondents ) VSE SUMMARY William H. Pyle ("Claimant") alleged as follows: 1. David Williams ("Williams") and Joel Brody ("Brody") regi

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cowen & Co. Claimant vs. Dennis Kaplan Respondent AWARD 189-01639 Case Summary Claimant Cowen & Co. alleged that Respondent Dennis Kaplan failed to pay for a debit balance in Respondent's account that he maintained with Viceroy International Securities Corporation for which Cowen & Co. was the clearing agent. Respondent Dennis Kaplan maintained that C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Howard D. Farias and Howard D. Farias Charitable Remainder Trust, Claimants v. RFCA Financial Services, Inc., USA Capital, Inc., Kenneth A. Parker, David M. Berkowitz, Albeit L. Whalen, Patrick James Wilde n, and Todd Charles Bauman, Respondents Third-Party/Cross Claim: RFCA Financial Services, Inc., Third-Party/Cross Claimant v. Patrick James Wilde n, Todd Charles Bauman, Ara

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between John A. Mikula Claimant(s) vs. David Capin vs. Jonathan Elyachar and E.F. Button and Co., Inc. a/k/a Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 89-01637 CASK SUMMARY Claimant(s) John A. Mikula alleged that Respondent(s) David Capin committed and unauthorized transfer with regard to Claimant's account hel

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Georgia L. Brooks ) & DavM Brooks Claimants ) ) vs. ) AWARD ) Bateman Eichler, Hill ) Richards, Inc., & Myles Morley Respondents ) CASE NO. 89-01633 SUWARY OF ISSUES Claimants alleged Respondents breached their fiduciary duty by placing this account on margin, that margin.was unsuitable for an account of this size and for the conservative fi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles R. Tantillo and Financial Association, Inc. Claimant vs. 89-01624 Tidd Lackey & Co., Inc. and Donaldson, Lufkin & Jenrette Securities Corporation Respondents REPRESENTATIQM OP PARTIES Claimants Charles R. Tantillo and Financial Associates/ Inc. were represented by Russell S. Jones of the Law Offices of Shughart, Thomson & kelroy

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf. Claimant(s) Anthony Thomas Savarese, Trustee, et al. 89-01623 Name of Resryinc^>nt^( g) Merrill Lynch, Pierce Fenner & Smith Inc Richard Kraft This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 2, 1989. Claimant alleged negligence and fraud in connection with an order to purchase "puts" on th

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert V. and Maureen Castro Claimant(s) vs. 89-01617 First American Capital Resources, Inc. and David Futransky Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(3) Robert V. and Maureen Castro alleged that Respondent(s) First American Capital Resources, Inc. and David Futransky executed unauthorized transactions in Claimants' a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between STEVEN R. JONES AND ANITA M. CRESS Claimants and SPRUNG & WISE SECURITIES, INC., NICKY OIMITRIJEVICH, TIMOTHY WISE, EQUA SEARCH INVESTORS GROUP, AND ANTHONY COLARUSSO Respondents ) CASE NO. 89-01616 CASE SUMMARY In their claim filed with the NASD on or about July 11, 1989, Claimants Steven R. Jones and Anita M. Cress ("Claimants") alleged that R

N.A.S.D. AWARD NftTICfftL ASSOCIATION OF SECURITIES DEALERS In tl» Matter of the Arbitration Between Name of Claimant? si Dean Witter Reynolds, Inc. 89-01614 fL Respondent I s \ Otto L. Dittmar Derrill L. Mannle Heard before the < arbitrator/manbers of the Arbitration Panel>: Name • Public/Industry Alan M. Greene, Esq. Public/Chairman Mauricio Kbhn Public/Panelist Eugene F. Leich Industry/Panelist This matter was initiated by a St