NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Jeffrey R. Miller, Executor Claimant ) of the Estate of Esther Miller ) and Rory A. Miller ) vs. ) AWARD ) Shearson Lehman Hutton, Inc. Respondents ) CASE NO. 88-03933 and Andrew Tse ) SUMMARY OF ISSUES This case was filed on December 27, 1988. Claimant Jeffrey R. Miller alleges that his deceased mother's account was transferred from a Gover

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02387 Paine Webber Incorporated, claimant vs. Christopher Delzio, respondent. ATTORNEYS: For Claimant PaineWebber Incorporated ("Claimant"), Romaine L. Gardner, Esq., Staten Island, New York. Respondent Christopher Delzio ("Respondent"), appeared Pro Se., Wichita, Kansas. DATE FILED: 5/24/1999 CASE SUMMARY: Claimant alleged that on September 8, 1993, it is

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between HHHam H. Fountain Claimant vs. Prudential-Bache Securities, Inc. Respondents Slenn Holderreed CASE NO. 85-03931 Heard before: Marcus E. Gracla, Jr. Owen Guinn Smith Edward H. Sanborn, IV S1MWY OF ISSUES This case was Hied on December 27, 1968. Claimant alleged negligence, misrepresentation, breach of contract, breach of fiduciary duty, failu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan Jereski Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Norman Rockoff Respondents CASE 188-03928 AWARD CASE SUWARY Claimant, Susan Jereski, alleges that Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Norman Rockoff, breached their fiduciary duty to her, violated Sections 7 and lOb of the Securities and Exchange Act

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gulfstream Airlines, Inc., Claimant ) Case #88-03926 vs. ) Award Charles Schwab & Co., Respondent CASE SUMMARY Claimant alleged that Respondent executed an order to sell 200 shares of Zayre Corp. stock at a lower price than what was initially confirmed. Claimant further alleged that Respondent sold out options in various stocks without notifying the Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Schiffbauer, Jr. Claimant(s) vs. 88-03923 Thomson McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(B) John R. Schiffbauer, Jr. alleged that Respondent(s) Thomson McKinnon Securities, Inc. misrepresented material facts with respect to Claimant's account held with Respondent. Respondent(s) denies

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Douglas A. Lewis Chariene M. Lewis Claimants vs. Gallant Securities, Inc. Joseph Guccione Dunhill Securities, Inc. David Juring and Vernon Bass Respondents Case #88-02851 AWARD CASE SUMMARY Claimants Douglas A. Lewis and Chariene M. Lewis ("Claimants") alleged that Respondent Joseph Guccione ("Guccione") fraudulently managed the Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Steve Vanotti , Claimant i ) AWARD vs . NASD -88-02848 Frank Dresslar ) Jon M. Pierson ) Broadcort Capital Corporation 5 Respondents ) REPRESENTATION Claimant Steve Vanotti represented himself, as did Respondent Frank Dresslar. Jon M. Pierson was represented by David A. Fike, Esq. of Jackson, Hargrove, Hillison & Emerich, Fre

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Eva Marie Berlin Claimant(s) vs. 88-02846 Mark Schrader and J.T. Moran & Co. Respondents) NOTICE OF ARBITRATION AWARD CASK SUMMARY Claimant(s) Eva Marie Berlin alleged that Respondent(s) Mark Schrader and J.T. Moran & Co. failed to execute a sell order. Respondent J.T. Moran maintains that the Respondent Mark Schrader was not in the employ of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joseph I. & Edith S. Klein Claimant and Patricia Marika Stephen Schwartz Austin Davenport Associates, Inc. Eastern Capital Securities, Inc. Respondent(s) Case *88-G2843 AWARD CASE SIMftRY Claimants Joseph I. and Edith S. Klein alleged that Respondents Patricia Marika, •Stephen Schwartz, Austin Davenport Associates, Inc., and Eastern Capital