NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Jay Phillips Claimant vs. Case #89-01021 AWARD Dean Witter Reynolds, Inc. and Alex Moore Respondents CASE SbWARY Claimant Jay Phillips ("Phillips") initially commenced this arbitration proceeding on April 3, 1989 against Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Alex Moore ("Moore"). Claimant alleges that Respondents are liable

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between Philip N. Chance Dorothy J. Chance Claimants ) Award ) ) NASD No. 89-01020 vs. Frank M. Schwartz Respondent SUMMARY OF ISSUES This claim was filed on April 3, 1989. Claimant alleged lack of suitability in the purchase of August Income/Growth Fund, August Properties Fund II and Landsing Institutional Properties V. Respondent denied claimants'

NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. In the Matter of the Arbitration Between Michael J. Stark Claimant VS. Paul Knight Respondent Case »89-01019 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1989 the Claimant, Michael J. Stark alleged the Respondent, Paul Kniglit, failed to execute his orders in a timely fashion. Respondent, Paul Knight, maintained he submitted t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #89-01018 AWARD IN THE MATTER OF THE ARBITRATION BETHEEN Benjamin P. and Florence M. Niqro Claimants vs. A.F. Green & Co., Inc. and Andrew Elbogen Respondent CASE SUMMARY Claimants Benjamin P. and Florence H. Nigro alleged that Respondent Andrew Elbogen ("Elbogen"), an employee of Respondent A.F. Green & Co., Inc., improperly recommended the Claimants purchase Onterie Center HFC ("Ont

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. !n the Matter of the Arbitration Between Hakan Ferhatoglu Claimant vs. Oppenheimer & Co., Inc. Windsor I.B.C. Yucel Akdeniz Respondents CASE «89-01008 AWARD CASE SUMMARY Claimant alleges that Respondents thought a broker named Yucel Akdeniz engaged in unauthorized trades purchasing two options in 1988. Respondent Oppeheimer & Co., Inc. argued that the broker was an employee of Wind

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF THE ARBITRATION BETWEEN Haze) N. Bullock Claimant vs. Case *89-01007 AWARD Kevin Houser Respondent CASE SIM4ARY Claimant Hazel N. Bullock asserts that between March 1984 and July 1986 she invested $32,965.64 with her Investment Executive Kevin Houser of PaineHebber, Inc., and that on or about November 3, 1987 Claimant received a check in the amount of $3,280.88 represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Victor Hanson Claimant ) ) vs. ) AWARD ) Power Securities, Inc. Respondent ) CASE NOS. JJ9-Q,IQ.Q4 ) 89-01017 SUMMARY OF ISSUES These cases were filed on April 4, 1989. On December 19, 1989, the cases were consolidated for hearing on January 9, 1990. Claimant alleges that Respondent sold certain unlisted common stocks that were not qualified to

NATIONAL ASSOCIATION OF SECURITIES DEALERS NOTICE OF ARBITRATION AWARD 89-01002 In the Matter of the Arbitration Between Gladys P. Amodio Claimant-(s) vs. Christopher J. Coletti and F.D. Roberts Securities, Inc. Respondent(s) ! . i CASE SUMMARY Claimant Gladys P. Amodio alleged that Respondents Christopher J. Coletti and F.D. Roberts Securities, Inc. Negligently misrepresented to the Claimant the issues involved with Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ' MARLON & SYLVIA POOL ) ) Claimants ) and ' ) ) CASE NO. 89-01001 POWERS SECURITIES, INC. AND ) RAF CORPORATION ) ) Respondents ) CASE SUMMARY Marlon B. Pool and Sylvia F. Pool ("Claimants") alleged that Powers Securities Corporation and RAF Financial Corporation (Powers and RAF are referred to herein as "Respondents") failed to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ying M. Liu and Yu C. Bian, (Claimants) vs. Fidelity Brokerage Services, Inc., (Respondent). Case Number: 99-02620 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, Ying M. Liu ("Liu") and Yu C. Bian ("Bian"), hereinafter collectively referred to as "Claimants": Michael M. Nguyen, Esq., Pham & Nguyen, Houston, Texas. Respondent, Fidelity Brokerage Services, Inc