Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Anthony Gioffre, Claimant vs. Morgan Stanley Dean Witter & Co., Respondent. Case Number: 99-02675 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Anthony Gioffre, hereinafter referred to as "Claimant", was represented by Phillip D. Lehmkuhl, Esq., of Mount Vernon, Ohio. Respondent, Morgan Stanley Dean Witter & Co., hereinafter referred to as "Respondent", was repr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Phillip Solar and Roberta B. Lewis Solar Claimant(s) vs. Dean Witter Reynolds, Inc. and Rick Wayne Respondent(8) NOTICE OF ARBITRATION AWARD 89-01373 CASE SUMMARY Claimants Phillip Solar and Roberta B. Lewis Solar alleged that Respondents Dean Witter Reynolds, Inc. and Rick Wayne performed an unauthorized sales transaction in Claimants' accoun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between ) Enid R. Bourgeois Claimant ) vs. ) E. F. Hutton & Co., Inc. / Respondent ) AWARD CASE NO. 89-01370 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 10, 1989. Claimant alleged that Respondent acted negligently and fraudulently by (1) failing to effect the sale and transfer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa Risebrow Claimant(s) vs. 89-01368 Madison Chapin Assoc. Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lisa Risebrow alleged that Respondent(s) Madison Chapin Assoc. Inc. committed unauthorized trading in Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations. RELIEF REQUESTED -m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Martucci Claimant(s) vs. Greentree Securities Corp. and Roger Tichenor Respondent(s) NOTICE OP ARBITRATION AWARD 89-01367 CASE SUMMARY Claimant(s) Richard P. Martucci alleged that Respondent(s) Greentree Securities Corp. and Roger Tichenor overcharged Claimant for executing a purchase order. Respondent(s) Tichenor maintains that

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Samuel Gershon Claimant(s) vs. Prudential-Bache Securities, Inc. and Maurice Sandier Respondent(a) NOTICE OF ARBITRATION AWARD 89-01366 CASE SUMMARY Claimant(s) Samuel Gershon alleged that Respondent(a) Prudential- Bache Securities, Inc. and Maurice Sandier made an unsuitable investment for the Claimant and failed to disclosed the sales charge

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thomas and Carol Miller Claimant(s) vs. 89-01365 The Stuart-James Co. and Jann Sand-Lin Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Thomas and Carol Miller alleged that Respondent(s) The Stuart-James Co. and Jann Sand-Lin misrepresented material facts with respect to Claimants' investment with Respondents. Respondent(s)

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between| William D. Mallinger Claimant(s) vs, 89-01363 Sprung and Wise Securities, Inc. and Scott Warbuton Respondent(s) NOTICE OF ARBITRATION AWARD .1 CASE SUMMARY Claimant(s) William D. Mallinger alleged that Respondent(s) Sprung and Wise Securities, Inc. and Scott Warbuton made misrepresentations and manipulated stock prices. Respondent(s) main

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Martha Szerlip Claimant vs. Shearson Lehman Mutton, Inc. Peter M. Gibson Respondents CASE #89-01358 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1989, Claimant Martha Szerlip alleged that Respondent Peter Gibson intentionally entered the Claimant into an excessive number of trades for th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gerene P. Lombardini Claimant ) vs. ) AWARD Ravindra 0. Phadnis Respondent ) CASE NO. 89-01357 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on May 9, 1989. Claimant alleged that Respondent recommended investments that were unsuitable to Claimant's stated investment goals and objectives, including opt