NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Karl Butler Claimant vs. Prudential Bache, Roger Yanow and Peter Owan Respondents Case #89-01199 AWARD CASE SIIWARY Claimant Karl 0. Butler alleged that Respondent Roger Yanow opened a speculative commodity futures account for the Claimant which was unsuitable for him. The Claimant alleged that Yanow never explained the exact nature of

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street N.A.S.D AWARD New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph & Anita Zicherman and Herman Zicherman vs. 89-01196 Name of Respondent Mutual Service Corporation and Bruce Carnick CASE SUMMARY In a claim filed with the NASD on April 21, 1989 Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jesaka Neumann vs. Claimant AWARD #89-01194 Tucker, Anthony & R.L. Day, Inc. Tom Donaldson Respondents Case Summary Claimant Jesaka Neumann alleged that Respondents Tucker, Anthony & R.L. Day, Inc. and Tom Donaldson placed her account in unsuitable and speculative stocks which were not in line with her stated investment objectives. Claimant allege

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Claimantfsl James N Anderson et. al 89-01188 Name of Respondent(s) Dean Witter Reynolds, Inc. Ralph Pahnke Heard before: Name Public/Industry Langdon Owen Public / Chair_ Robert Thorup Public Thonas Borden Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealer

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mr. and Mrs. William D. Fitzharris 89-01186 Claimant vs. OATH AND AWARD OF ARBITRATOR Oppenheimer & Co., Inc. Respondents : = = = = = = »»: = = = »= = = = = = = z = » = z = = tt = = = «c=s»: = = = === ==!==:=: . Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) John S. Forbes ) Claimant ) ) AWARD vs. ) ) NASD #89-01185 Frank Kubica ) Respondent ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 21, 1991. Claimant alleged that Respondent breached his fiduciary duty in recommending securities transactions which were not suitable

l+rrr NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Betwaer. Harry Fishman and Michael Fishman :'ainuints vs. Greeley Securities, Inc. Gregory Spencer Fred Paul Moi;eo Respondents CASE #89-01184 AWARD CA5C SIMMY Claimants allege that they purchased Aquasciences. They contend that Respondent Gregory Spencer withheld information that insiders were selling off large blocks of their own stock. Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of. the Arbitration Between/Among * * People's Securities, Inc. * Case #89-01179 * AWARD Claimant * * vs. * * Richard & Maribeth Rizzardi * * Respondents * CASE SUMMARY Claimant People's Securities, Inc. ("PSI") alleged that the major market downturn of October 19, 1987 required PSI to purchase large volumes of stock for Respondents Richard and Maribeth Rizzar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Julie Mezydlo ) Claimant ) ) AWARD vs. ) ) NASD f 89-01178 Prudential-Bache Securities, ) Inc. and Ernest M. Dill ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on April 20, 1989. Claimant alleged that Respondents breached the implied and written agreements betwe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marthe E. Brown, M.D. Claimant(s) vs. 89-01173 Drexel, Burnham, Lambert, Inc. and Steven M. Wilson Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Marthe E. Brown, M.D. alleged that Respondent(s) Drexel, Burnham, Lambert, Inc. and Steven M. Wilson made an unauthorized trade. Respondent(s) maintain that they acted properly an