Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Charles Schwab & Co., Inc., Claimant vs. Mark Ziegaus and Deanza Ziegaus, Respondents. Mark Ziegaus and Deanza Ziegaus, Claimants vs. Charles Schwab & Co., Inc., Respondent. Consolidated Case Numbers: 99-02659 and 99-02698 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter referred to as "Claimant or Schwab": Cur

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of Arbitration Between Arnold Gottlieb Claimant CASE #89-01172 AWARD vs. Rosenkrantz, Lyon & Ross, Inc. Respondent =3 = « = «*Bsss5st3«»a»»«s«*B«S3««»r:*«»»«»»a«a3:t«»«»»» CASE SUWARY This claim was initially commenced on April 18, 1989. The essence of Claimant's claim against Respondent, Rosenkrantz, Lyon and Ross, Inc., consisted of allegations of conflict of interest a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Salvatore C. Buccola and Michael E. Buccola vs. Claimant(s) 89-01169 Martin J. Mclntyre and Chip Rice Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Salvatore C. Buccola and Michael E. Buccola alleged that Respondent(s) Martin J. Mclntyre and Chip Rice mismanaged Claimants' account and failed to execute a sell order as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis J. Bertolami Camille A. Bertolami vs. Claimants CASEt 89-01156 AWARD John Passaro Vincent DeSantis Robert Mulvihill Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1989, Claimants Louis J. and Camille A. Bertolami alleged Respondents John Passaro, Vincent DeSantis

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William J. and Madalyn Blair C/F Ryan William Blair Claimant(s) vs. Shearson Lehman Button, Inc., et al Respondent(s) NOTICE OP ARBITRATION AWARD 89-01165 CASE SUMMARY Claimant(s) William J. and Madalyn Blair C/F Ryan William Blair alleged that Respondent(s) Shearson Lehman Button, Inc., et al released funds from a custodial account withou

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carol Sue Teague Claimant(s) vs. 89-01164 Charles Schwab & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD This Notice of Arbitration Award supercedes the Notice mailed to the Parties on October 20, 1989 CASE SUMMARY Claimant(s) Carol Sue Teague alleged that Respondent(s) Charles Schwab & Co. , Inc. improperly charged KEOGH account maintenance

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nancy E. MacCartney Claimant(s} vs. 89-01162 Capital Investment Graystone Nash Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant (s) Nancy E. MacCartney alleged that Respondent (s) Capital Investment/Graystone Nash misrepresented material facts as to Claimant's investment with Respondent. Respondent(s) denies Claimant's allegatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between RICHARD ROSEN and PAULINE ROSEN. vs. SHEARSON LEHMAN HUTTON. INC., JOSEPH HUNTING and RICHARD SOMMERS, Claimants, Respondents. Case /89-01160 Award Heard before the members of the Arbitration Panel: Robert Kasky. Esq. Robert Herschmann, Esq. Mr. Douglas Delanoy Jr. . CASE SUMMARY This claim was filed with the NASD, Inc. on April 18,

NATIONAL ASSOCIATION OF SECURITIES DEFERS, INC. In the Matter of Arbitration Between ) ) HOGAN & JEAN MATHEWSON ) Claimants ) v. ) NASD NO. 89-01157 THOMAS MULCAHY JR. ) and ROBERT W. BAIRD & CO., INC. ) Respondents ) CASE SUMMARY In a Statement of Claim filed with the NASD on April 18, 1989, Claimants Hogan and Jean Mathewson ("Mathewsons") alleges that Respondents induced their investing retirement funds into an IRA account by misr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Veronica Flores Claimant(s) vs. 89-01155 Graystone Nash, Inc. and Susan Sullivan Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Veronica Flores alleged that Respondent(s) Graystone Nash, Inc. and Susan Sullivan misrepresented material facts as to Claimant's investment with Respondent. Respondent Graystone Nash, Inc. den