NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) Award Richard & Dorthy Tucker Claimants ) ) NASD No. 88-02970 vs. ) Piper, Jaffray & Hopwood, Inc. Respondents Scott Franklin SUMMARY OF ISSUES This case was filed on September 20, 1988. Claimants alleged misrepresentation in the purchase of shares of a mutual fund, Keystone Tax Free Fund. Respondents de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) ) ) Award OTRA Clearing, Inc. Claimant ) (Summary Decision) ) NASD No. 88-02967 vs. ) ) Bliss Securities, Inc. Respondent ) ) Bliss Securities, Inc. Third Party Claimant ) vs. ) Paragon Capital Third Party Respondents ) Greentree Securities ) Robert B. Ginberg . ) SUWARY OF ISSUES This

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Edward Muniz Claimant ) ) vs. ) AWARD ) First Affiliated Securities, Respondents ) CASE NO. 88-02960 Inc., William Morgan and Akiva ) Bar ) SUMMARY OF ISSUES Claimant alleged Respondents: 1. breached their fiduciary duty to him by buying unsuitable common stocks for his portfolio and engaging in unsuitable options trading; 2. churned his

0 2 RECD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Willard R. & Frances D, Sanders AWARD Claimants #88-02956 vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Patrick Santullo Respondents Case Summary Claimants Willard R. and Frances D. Sanders, alleged that Respondents took their order to sell a mutual fund approximately 20 to 25 minutes before the market closed on October 15, 1987, and did not ad

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. Janis and Burton Roseman Respondent(s) NOTICE OF ARBITRATION AWARD 88-02948 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Janis and Burton Roseman have not paid the debit balance in Respondents' account held with Claimant. Respondent(s) did not submit an answer to the clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between JAMES C. AND LAURA J. RUTAN j Claimants ; v - ) ASPEN CAPITAL GROUP, INC. ) AND CHARLES BENSON ) Respondents ) CASE SUMMARY Case No. 88-02941 Claimant's invested 5,000 in June of 1987 and an additional $7,000 in July of 1987 with Respondents. Claimant's allegedly advised Respondent that those funds invested in July of 1987, would be needed to meet

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth L. Geist 88-02937 Name of Respondents Bear Stearns & Co., Inc. Baird Patrick & Co,, Inc. J. Edmund & Co. Stuart Sosler, Ludwig Cserhart and John E. Ligvuns Heard Before: Public/Industry Murray I. Sonuner Public Arbitrator Robert Seaman Public Arbitrator Theodore Kimelman Industry Arbitrator CASE SUMM

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Howard L. Schaeffer Claimant(s) vs. Drexel Burnham Lambert, Inc. Respondent(s) AWARD 88-03052 The Arbitrator, Randall C. Schakner, having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties; And, that having reviewed and cons

• NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sherin Mahmoud Claimant(s) vs. 88-03047 Levco Securities Corp., Individual's Securities Ltd. and Heather Fontaine Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sherin Mahmoud alleged that Respondent(s) Levco Securities Corp., Individual's Securities Ltd. and Heather Fontaine did not execute Claimant's order to sell secur

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02399 Lleras Family Trust, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: For Claimant Lleras Family Trust ("Claimant") appeared Oswaldo Lleras, Pro Se, Cape Coral, FL. For Respondent Ameritrade, Inc. ("Respondent") appeared in-house counsel James J, Vihstadt, Esq., Bellevue, NE. DATE FILED: 05/25/99 CASE SUMMARY: Claimant alleged that when on A