NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *88-0382Q AWARD In the Matter of the Arbitration Between Douglas Schlaeppi Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Paul Anderson Douglas Eayrs Respondent CASE SUMMARY Douglas Schlaeppi, in a claim filed vith the National Association of Securities Dealers, Inc. on December 13, 1988, alleged that Respondents did not execute a stop loss order of ten percent (

Region NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Thomas Quijencio & Elizabeth Quijencio Claimant(s) AWARD CASE 188-03883 vs. Drexel, Burnham Lambert, Inc. Michael Savarese Respondent(s) SUMMARY OF ISSUES This case was filed on December 21, 1988. Claimants Thomas Quijencio and Elizabeth Quijencio opened an account with Respondent Drexel Burnham Lambert, Inc. through its representative Michael Savarese. Claimants allege that

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey J. Hanz, Claimant Case Number: 99-02419 Vs. Hearing Site: Milwaukee, Wisconsin National Securities Corporation, The Boston Group, Joseph W. Donohue, Robert A. Diminico, Kye Hellmers, Michel Allocca, Kimi Eizo Jingu, John R. Brady, Philip E. Steele, Kevin E. Scannell, Clifford F. Mastricola, Susan Anne Gullery, Bonnie Briggs R

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Carol D. Nalley Claimant vs. AWARD 188-03871 R.B. Marich, Inc. Respondent Case Summary This proceeding was commenced by the Claimant to recover damages from the Respondent arising from on alleged theft from the Claimant by Keith S. Sheldon, a registered representative employed by the Respondent. Claimant's claim was based upon the fact that Sheldon, d

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter cf the Arbitration Between Name of Claimants Harold Harmon Florence Harmon 88-03852 Name of Respondents North American Investment Corp. Edward Kopko Douglas Chaffin North American Investment Holding Corp. REPRESENTATION For Claimants: Richard Slavin, Esq. of the law firm of Cohen and Wolf, P.C. For Respondents: North American Investment Corp., Edward

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Dr. Christopher Lyon, Claimant ) ) AWARD vs. ) CASE NO. 88-03849 Russell Oiehl, Respondent ) SUMMARY OF ISSUES Claimant alleges that he incurred losses in his account with Respondent due to Respondent's unauthorized and excessive trading of options. Claimant also alleges that his intent was to preserve capital and at no time did he indicate to respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William R. Caruso, Dolores S. Caruso, David Pawlowicz, Oarlene Pawlowicz and Margaret Ruggerio Claimants vs. The Equitable Life Assurance Society of the United States Respondent AWARD 188-03846 CASE SUMMARY Claimants, William R. Caruso, Dolores S. Caruso, David Pawlowicz, Darlene Pawlowicz and Margaret Ruggerio alleged that the Respondent fa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case 188-03922 AWARD IN THE MATTER OF THE ARBITRATION BETWEEN James P. Sutton and Mary Sutton Claimants vs. Gary Kellman, Elliott Bellen and P.O. Roberts Securities, Inc. Respondents CASE SUWARY This proceeding was commenced initially on December 27, 1990 by Claimants James P. and Mary Sutton ("Suttons") against Gary Kelman ("Kelman"), Elliott Bellen ("Bellen") and F.D. Roberts Securit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Erhan Tezol Claimant vs. Oppenheimer and Company, Inc. and Windsor I.B.C. Respondents vs. Yucal Akdeniz Third Party Respondent AWARD Case #88-03918 CASE SUMMARY Claimant Erhan Tezol "Tezol" alleges that he opened an account with Respondent Windsor I.B.C. "Windsor", an alleged in-house brokerage unit of co-respondent Oppenheimer and C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles De Palma ) Claimant ) ) Case #88-03915 vs. ) ) Award Charles Schwab & Company, Inc. ) Respondent Case Summary Claimant asserts that Respondent failed to execute a stock purchase order at the best available price. He asserts that the stock could have been purchased in Canadian currency in the Canadian Market. Respondent contends