NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Ruby M. Sparks Claimant vs. Case #88-03613 AWARD Interstate Securities Corporation & Roger Price Respondents CASE SUIWRY Claimant Ruby Sparks alleged that Respondents Interstate Securities Corporation and Roger Price developed a securities program for her that was unsuitable for a person in her situation and contrary to her investment object

JAN 18 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate of Mathew Landy Claimant vs. Chubb Securities Corporation Respondent Case Summary AWARD 188-03611 Claimant alleged that Respondent improperly sold stocks in the portfolio of Mathew Landy creating a subsequent loss for the Claimant since the stocks were allegedly sold before the Estate of Mathew Landy had received required tax wai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Martin H. Novitsky Claimant vs. Shearson Lehman Brothers, Inc. and Frank E. Bruno Respondents Case 188-03610 AWARD CASE SUMMARY This proceeding was commenced initially on November 21, 1988 by Claimant Martin H. Novitsky ("Novitsky") against Shearson Lehman Brothers, Inc. ("Shearson") and Frank E. Bruno ("Bruno") and arises out of an account held

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Genevieve F. Klein John W. Klein vs. Claimants Thomson McKinnon Securities, Inc. Richard Byerly Respondents CASE #88-03609 AWARD CASE SUMMARY Claimants assert that Respondents made misrepresentations concerning the value of stocks held in their account. Further that because of their reliance on the misrepresentations because they were unable

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nathan Gross Claimant vs. Prudential Bache Securities, Inc. Respondent CASE #88-03608 AWARD CASE SUMMARY Claimant asserts Respondent influenced and persuaded him to make unsuitable investments at a time when Claimant retired. Further, excessive trading which generated commissions and margin interest were conducted. Respondent contends Claimant w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Oppenheimer & Co, Claimant/Counter ) Respondent ) AWARD vs. ) CASE NO. 88-03607 ) Peter and Anna Katz Respondent(s)/ ) Counter ) Claimants ) ) SUWARY OF ISSUES This case was filed on November 21, 1988. Claimant/Counterrespondent alleged that Respondents/Counterclaimants opened an account with Claimant and executed a Customer Agreement, O

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Mayco L.A. Federal Credit Union Claimant ) vs. Barbara A. Mark ) Respondent ) AWARD CASE NO. 88-03605 Heard Before the Members of the Arbitration Panel Frank R. Smith Michael Strieby David N. Mahler SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 18, 1988. Claimant al

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Merrill Lynch Pierce Penner & Smith Claixoant(s) vs. 88-03601 William C. Allen, Jr. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Merrill Lynch Pierce Fenner 6 Smith alleged that Respondent William C. Allen, Jr. refused to pay for shares he purchased through his Merrill Lynch account. Respondent has not submitted an Answer or

N.A.S.D. REGULATION AWARD ASSOCIATION O ECURITIES DEALERS REGULATION. INC. CASE: 99-02532 Ai Bino, claimant vs. Merrill Lynch Pierce Fenner& Smith, Inc., Daniel Gottlieb, and William Reid, III, respondents. ATTORNEYS: Claimant Al Bino ("Claimant") appeared Pro Se., Sinking Spring, Pennsylvania. For Respondents Merrill Lynch Pierce Fenner & South, Inc. ("Merrill Lynch"), Daniel Gottlieb ("Gottlieb"), and William Reid, HI ("Reid") (collectively, "Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William W. Kelly, Trustee Claimant(s) vs. 88-03595 Thomas A. Butler Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant William W. Kelly, Trustee alleged that Thomas A. Butler delayed in executing an order resulting in financial loss. Respondent maintains that there was no delay and that the order date in the Claimant's claim is incorr