NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ruth Arlyn Levin Claimant vs. Prudential-Bache Securities, Inc., and Thomas Breen Respondents CASE NO. 89-00577 SUWARY OF ISSUES Claimant filed this claim with the NASD on February 21, 1989 and alleged that the recommended investment in Continental Option Income Plus Fund II was not suitable. Claimant further alleged that Respondents failed to advis

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Blumenthal Claimant vs. J.T. Moran & Company, Inc. Frank Fischer Gerald Hirschhorn Respondents CASE #89-00575 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 21, 1989, Claimant Robert Blumenthal alleged Respondents invested his funds in investments that were unsuitable for him

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:99-02582 Parker/Hunter Incorporated, claimant vs. Robert Vettorel, respondents. ATTORNEYS: For Claimant, Parker/Hunter Incorporated appeared Jay W. Lewis in-house counsel for Parker Hunter Incorporated, Pittsburgh, PA. For Respondent, Robert Vettorel appeared JoAnne Schwendinger, Esq. of the firm Rizza & Schwendinger, LLC. Pittsburgh, PA. DATE FILED: June 4, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Cisca Brier Shapero Claimant ) } vs. ) AWARD ) Dean Witter Reynolds, Inc. Respondents ) CASE NO. 89-00573 and Glenn C. Palmer ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on February 22, 1989. Claimant alleged that Respondents failea to execute her order as placed on August 19, 1986 t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy Leahy Claimant(s) vs. Olde Discount Stock Brokers Respondent(s) NOTICE OP ARBITRATION AWARD 89-00572 CASE SUMMARY Claimant Timothy Leahy alleged that Respondent Olde Discount Stock Brokers failed to execute a cancellation. Respondents maintain that Claimant failed to cancel. AWARD Pursuant to Section 13 of the NASD, Inc. Code of Arbitr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Grsg and Ellen Stern ttee Stern Co. Pension Trust Claimant(s) ARBITRATION vs. AWARD 89-00570 Prudential-Bache Securities, Inc. Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Greg and Ellen Stern ttee Stern Co. Pension Trust disputes a mutual fund redemption fee assessed by Respondent. Respondent(s) maintain that Claimants were aware of the r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 189-00563 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN Carwelo & Patricia Vitello CLAIMANTS vs. First Fidelity Capital Corp. K. Nick Ousevic Michael Coulombre RESPONDENTS CASE SuWARY Claimants Carmelo & Patricia Vitello ("Vitello") alleged they were unsophisticated, inexperiencefr investors, and that the Respondents First Fidelity Capital Corp. ("Firs* Fidelity"), K. Nick Du

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sandra Barnow, a.k.a. Claimant ) Sandra Kahn ) ) vs. } AWARD ) Oppenheimer & Co., Inc., Respondents ) CASE NO. 89-00562 Bear Stearns & Co., Inc. and ) Stuart Godin ) SUMMARY OF ISSUES Claimant alleged that Respondents breached their fiduciary duty to her, failed to supervise account executive Godin, and defrauded her by placing 75% of he

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thonas Ned and Barbara Anderson 89-00559 Name of Respondent Brad Doolittle The Colonial Group of Mutual Funds, Inc. Institutional Asset Management CASE SOMURT Thomas Ned and Barbara Anderson ("Claimants") alleged that Institutional Asset Management, Colonial Group of Mutual Funds, and Brad Doolittle (collectively referred to herein as

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between John F. Shanahan Claimant(s) vs. 89-00558 Graystone Nash, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) John F. Shanahan alleged that Respondent (s) Graystone Nash, Inc. made misrepresentations. Respondent (s) maintain that the merger in question did take place and the Respondent, at that time, was not in any financial d