NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n 7 Larry Hal lee Claimant ) Award ) NASD #88-03250 vs. ) ) Dean Witter Reynolds Inc. Respondents ) and Timothy Sweeney " ) SUMMARY OF ISSUES Claimant filed the claim on October 18, 1988 and alleged that Respondents made unsuitable recommendations; engaged in fraudulent and bad faith recommendations; failed to exe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Edward R. Dunnigan Claimant Case #88-03247 vs. Pruco Securities Corporation Prudential-Bache Securities, Inc. Eugene C. Jerris Arthur J. Kenney Respondents AWARD CASE SUMMARY Claimant, Edward R. Ounnigan alleged that Respondents, Pruco Securities Corporation, Prudential-Bache Securities, Inc., Eugene C. J.erris and Arthur J. Kenney recom

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George M. Kuzma Claimant vs. Smith Barney Harris Upham & Co., Inc. Bruce Olephant Respondents AWARD #88-03244 Case Summary This proceeding was commenced by the Claimant George M. Kuzma ("Kuzma") to recover damages from the Respondents Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Bruce Olephant ("Olephant") from losses in Claimant's s

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph A. Halizak Claimant #88-03242 AWARD Claimant vs. Advest, Inc. Steven F. Tripodi Respondents Case Summary Claimant Joseph A. Halizak who maintained a margin account with Respondent Advest, Inc. maintained that Respondents, without prior notification or authorization, seized and sold securities from his account to satisfy margin deficienc

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Strauss & Doris J. Strauss Claimants vs. Susan Everett Quick & Reilly, Inc. Respondents AWARD #88-03241 Case Summary Claimants Robert & Doris J. Strauss (hereinafter "Claimants") alleged that on October 20, 1987 that Mr. Strauss placed a limit order at 74 on the QEX December 290 position and that he wrote a check to cover this purchase. Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. =S== =======» ==3==3==3S======S==3Z=S= = =3:= = a= ====== In the Matter of Arbitration Between Mary Beth Pappas Claimant vs. CASE #88-03234 AWARD Stan Aslanian L.F. Rothschild & Co. Respondents vs . Robert Fairbrother Third-party Respondent CASE SUWARY Claimant, Mary Beth Pappas, alleges that on October 6 and 7, 1987 she instructed respondents to liquidate h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matte: of the Arbitration Between Geraldine and Donald DeSimone 88-03229 of Responden s Shearson Lehman Brothers F.lias Argyronoulos This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 18, 1988. Claimants Donald and Geraldine DeSimone (DeSinone) allege that Respondents Shearson Lehman Hutton, Inc. and Elias Argyropoulos caused D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) MINNIE WEBER, ) Claimant, ) ) Case 188-03228 vs. ) Award PROFILE INVESTMENTS, ALAN BESHANY and ) GREGORY MARHOLIN, ) Respondents. ) Heard before the members of the Arbitration Panel) ARTHUR J. LEIBELL, ESQ. MR. LAWRENCE M. GREEN MR. HOWARD BIEL CASE SUMMARY This claim was filed with the NASD, Inc. on October 18, 1988. The hearing was c

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02490 Joel M. and Sharon Black, JTWROS, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se., Roslyn, NY. Respondent appeared through its Senior Compliance Analyst, Bob Salvador, Palo Alto, CA. DATE FILED: 06/01/99 CASE SUMMARY: Claimants alleged that in October of 1998 respondent was negligent in handling their account

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) HAROLD & MAXINE BROWN ) ) Claimants ) and ) ) CASE NO. 88-03227 B.C. CHRISTOPHER SECURITIES, CO., ) BLUNT, ELLIS & LOEWI, INC., ) WILLIAM ROSENBERGER, et al ) ) Respondent ) CASE SUMMARY A. Harold and Maxine Brown ("Claimants") alleged as follows: (B.C. Christopher Securities, Co., Blunt, Ellis & Loewi , Inc., William Rosenberger,