NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Vicki Lea Claimant vs. Piper, Jaffray & Hopwood and Mark and Trudi Ann Caron Respondent CASE NO. 88-02893 SUWARY OF ISSUES This case was filed on September 14, 1988. In a claim filed at the NASD Claimant Vicki Lea alleged that Respondents mishandled her stock portfolio from June, 1986 through the beginning of 1988. Claimant alleged that she was inte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between . } ) Stanley C. & Barbara M. Ingraharo, Claimants ) Trustees ) vs. ) AWARD KMS Financial Services, Inc., Respondents ) CASE NO. 88-02886 James E. Hill and James R. Hill ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 13, 1988. Claimants alleged the following: failure to execute sal

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) CHARLES DILLON ) ) Claimant ) and ) ) CASE NO. 88-02881 LAIDLAW, ADAMS & PECK, INC. a/k/a KUHNS ) BROTHERS & LAIDLAW, INC. AND IRWIN M. ) GROSS ) Respondent(s) ) CASE SUMMARY In a claim filed with the NASD on September 13, 1988, Claimant Charles Dillon ("Dillon") alleged that Respondent Irwin M. Gross ("Gross"), while a registered

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between CAROLINE JANES TOOD Claimant ) and ) ) CASE NO. 88-02876 CRAIG-HALLUM, INC; AND ) BRUCE HENDRY , " .. ) Respondents ) CASE SUMMARY In a claim filed, with the NASD on September 13, 1988, Claimant Caroline Janes Todd. ("Claimant") alleged that Respondents Craig-Hallum, Inc. and Bruce Hendry (collectively as "Respondents") made an unauthorized

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02389 Akinyele Akinsanya and Bravada Garrett-Akinsanya, claimants vs. E*Trade Securities, Inc. respondent. ATTORNEYS: Claimants Akinyele Akinsanya and Bravada Garrett-Akinsanya (collectively "Claimants"), appeared Pro Se., Plymouth, MN. For Respondent E*Trade Securities, Inc. ("Respondent"), Robert W. Salvador of E*Trade Securities, Inc., Palo Alto, CA.

N.A.S.D. AWARD ® NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Joel Peterzell Charles Schwab & Company, inc. Warren Way Walton Lee Schieman Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 1 Ronda 333 ° 1 CASE f 88-02 86 8 Heard before the members of the Arbitration Panel: Janes R. Kenned/, Jr., Esq. David A. To

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Charles Schwab & Co., Inc. Claimant(s) ) vs. ) CASE NO. 88-02865 Stephen Bergman and Kimberly Bergman Respondent(s) ) \ Heard Before the Members of the Arbitration Panel: Walter P. Hitchcock James M.Knowles Robert I. Recker SUMMARY OF ISSUES Claimant alleged that Respondents entered into a written agreement wherein Respondents opened a cash, m

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kenneth D. Fly Claimant(s) vs. Arch Martin Respondent(s) NOTICE OF ARBITRATION AWARD 88-03031 CASE SUMMARY Claimant(s) Kenneth D. Fly alleged that Respondent(s) Arch Martin sold shares at an excessive loss. Respondent(s) denied all allegations. RELIEF REQUESTED Claimant(s) Kenneth D. Fly requested damages of Two Thousand One Hundred Forty

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pejsach Fruchtenberg Claimant vs. Shearson Lehman Hutton, Inc. Respondent AWARD 188-03026 Case Summary Claimant states that Respondent failed to follow instructions on a bond order as to the amount purchased. He seeks dismissal of the full amounts sought in a counterclaim. Shearson counterclaims for the amount resulting from the liquidation of the bon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Harold R. Fox, ) Claimant. ) ) Case /-88-030U vs. ) Award Easter Kramer Group Securities, Inc. ) Charles R. Hilbun, ) Respondents. ) Heard before the members of the Arbitration Panel: Bruce J. Herman, Esq. Mr. Frank J. McCormack Mr. Jack Harris CASE SUMMARY This claim was filed with the NASD, Inc. on September 26, 1988. The hearing was