NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc Claimant(s) vs. 89-01354 Steven Morse lang Respondent{s) NOTICE OF ARBITRATION { AWARD CASE SUMMARY Claimant Charles Schwab & Co., Inc alleged that Respondent Steven Morse lang failed to make good delivery of the total number of shares sold for his account or to return the funds paid out to him. Respondent failed to defen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Steven, Lisa and Floyd-Wolff, JT WROS vs. Case No. 99-02674 ~ Name of Respondent Fidelity Investments Institutional Services REPRESENTATION OF PARTIES Claimants, Steven, Lisa and Floyd Wolff, hereinafter collectively referred to as "Claimants' Floyd Wolff, Quincy, Massachusetts Respondent, Fidelity Investments Institutional Services, hereinafter re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Use E. Stahl Thomas Werner Ueberall VS. Claimants Robert Ryan Skoff Sherwood Capital, Inc. First Jersey Securities, Inc. Respondents CASE *89-01348 AWARD CASE SWfMRY Claimants, Use E. Stahl and Thomas Werner Ueberall, allege that Robert Ryan Skoff, while in the employ of First Jersey Securities, Inc. and Sherwood Capital, Inc., charged excessive

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Joseph Woody Case No. 89-01344 Claimant AWARD vs. Michael Leeds Greentree Securities, Inc. Richard Greenstein Thomas Francis Respondents CASE SUMMARY In a claim filed with the National Association of Securitiss Dealers, Inc. on May 8. 1989. Claimant Joseph Woody alleged the Respondents misrepresented to him the initial value of his inves

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald G. Phillips Claimant(s) vs. 89-01340 Southmark Financial Services, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Donald G. Phillips alleged that Respondent(a) Southmark Financial Services, Inc. committed fraud and made misrepresentations. Respondent(s) maintain that the Claimant has failed to state facts to sup

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Curtis and Shirley Bowland Claimant(s) vs. 89-01339 Power Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Curtis and Shirley Bowland alleged that Respondent Power Securities made misrepresentations with respect to the purchases of securities. Respondents did not respond. RELIEF REQUESTED Claimant Curtis and Shirley B

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Demetris Rogu Maria Rogu Claimants vs. CASE 189-01337 AWARD Monmouth Investments, Inc. & Timothy J. Milway Respondents CASE SUMMARY Claimants, Demetris and Maria Rogu, allege that Respondents, Timothy J. Milway and Monmouth Investment, Inc., without authorization purchased on March 20th, 1989, 5000 shares of Corporate Capital Resources, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James E. Washington Claimant(s) vs. 89-01333 Tom Ackerly, Dennis Williams, Mike Burko and Shawn Crane Respondent( NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James E. Washington alleged that Respondent(s) Tom Ackerly, Dennis Williams, Mike Burko and Shawn Crane were participants in a conspiracy to defraud investors ' and made misr

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INi IN THE MATTER OF THE ARBITRATION BETWEEN SEBASTIAN C. SISTI CLAIMANT AWARD 89-01331 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. RESPONDENT CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1989, Claimant Sebastian C. Sisti ("Sisti") alleged there was an illegal charge of interest on short sales against the box which had a rippling effect throu

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Max L. Burdick Family InterVivos Trust Revocable Trust NASD Regulation, Inc. v. No. 96-00209 Charles Schwab & Company, Inc. Bear Stearns Securities Corporation Ronald M. Berman Steven Dantus REPRESENTATION OF PARTIES Max L. Burdick Family InterVivos Trust Revocable Trust ("Claimant") was represented by Jay Sheen, Esq., Robinson & Sheen,