NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. c In the Matter of the Arbitration Between ) CHARLES A. ROTH ) Claimant ) and ) ) CASE NO. 88-02873 JOSEPH MIYAMOTO, JR. ) EVAN RYAN SECURITIES, INC. AND ) WEDBUSH SECURITIES } ) Respondents ) CASE SUMMARY Charles A. Roth ("Claimant") alleged that Joseph Miyamoto, Jr. and Evan Ryan Securities, Inc. ("Respondents") improperly liquidated Mr. Roth's interest in 7,500 shares of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) John Varnas and Helen Varnas, Claimants ) vs. ) CASE NO. 88-02870 Shearson Lehman Mutton, Inc., ) AWARD Charles Cooper and Stephen Jackson, Respondents ) SUMMARY 0^ ISSUES This claim was filed on September 13, 1988. Claimants ajl.eged thai they invested $100,000 in a Hutton Investment Series (HIS) Government Securities mutual fund on the representation by

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Hatter of the Arbitration Between SANDRA H. GILBERT and FRANK G. WILKINS, JR.. Claimants, vs. POWER SECURITIES. CORP., Case 188-02867 Award Respondent. Heard before the member of the Arbitration Panel: H. Steven Holtzman, Esq. CASE SUMMARY This claim was filed with the NASD, Inc. on September 13, 1988. The hearing was conducted in Tampa, Florida on November 16, 1989 with a t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chee-Ken Tan, Custodian for Joseph Tan Claimant(s) vs. Harris Brokerage Service, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-02864 CASE SUMMARY Claimant Chee-Ken Tan, Custodian for Joseph Tan alleged that Respondent Harris Brokerage Service, Inc. mishandled Claimants account held with Respondent. Respondent denies Claimant allegation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Joost A. Gompels Claimant ) Case #88-02856 vs. Award Prudential-Bache Securities, Inc. Respondent On May 10, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Joost A. Gompels on September 6, 1988, and by Respondent Prudential-Bache Securities, Inc. on November 8,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dragan Sternberg Claimant(a) vs. Blinder, Robinson & Co., Inc. Respondent(a) NOTICE OF ARBITRATION AKARD 88-03958 CASE SUMMARY Claimant(s) Dragan Sternberg alleged that Respondent(a) Blinder, Robinson & Co., Inc. caused unrealized (paper) losses in a transaction involving the purchase of 1,000 shares of Camera Enterprises. Respondent(s) maintain t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Herbert H. Oebleis Claimant vs. Andrew Peck Associates, Inc. Respondent AWARD #88-03957 CASE SUMMARY Claimant Herbert H. Oebleis alleged that Respondent Andrew Peck Associates, Inc. transferred his accounts to their firm and subsequently, sold all of his shares and charged excessive commission fees to him. After comparing Respondent's published

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George Billmeyer Claimant vs. Shearson Lehman Hutton, Inc. George Dunn Respondents CASE *88-03955 AWARD CASE SUMMARY Claimant George Billmeyer alleged that Respondent George Dunn engaged in excessive trading in Claimant's account for purposes that benefited Respondent George Dunn and/or Respondent Shearson Lehman Hutton, Inc. Claimant further al

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-02388 James Reid, claimant vs. Citibank Retirement Plan Services and Citicorp Financial Services n/k/a Citicorp Investment Services, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Brooklyn, NY. For Respondent Citicorp Investment Services, Inc., appeared Marc Frimet, Vice President and Associate General Counsel, Long Island City, NY. Respondent Citibank Retirement Plan Serv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Ronald Salomon Case No. 00-01005 "NJamp pf ]?^«gpfvnH^ntS Scott D. Harris Victor M. Wang Hearing Site: Pittsburgh, PA Claimant, Ronald Salomon, hereinafter referred to as "Claimant": Robert M. Kramer, Esq., Attorney at Law, Pittsburgh, PA. Respondent, Scott D. Harris ("Harris") represented himself at the hearing. Respondent, Victor M. Wang, did not appear at the