NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) B. CONNER JOHNSON AND HALINA V. JOHNSON, ) Claimants ) and ) ) CASE NO. 88-02786 NICK VALENTINO, ) Respondent ) CASE SUMMARY B. Conner Johnson and Halina V. Johnson ("Claimants") allege that Nick Valentino ("Respondent") mismanaged and purchased unsuitable investments for Claimant's account. Specifically, Claimant alleges that inherited investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lisa A. & Jerrold D. Bernard Claimant(s) vs. Individuals Securities, Inc. & Greg Zelco Respondent(s) AWARD 88-02784 The Arbitrator, John W. Jerak, 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 on claimant on Augus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles K. and Palmira A. Napoleon, ) Claimant ) Case #88-02775 ) vs. ) Award ) Shearson Lehman Mutton, Inc., ) ) Respondent ) CASE SUMMARY Claimants allege that they told Gary Arnold, the registered representative with Respondent brokerage firm that they wished to convert their government securities accounts, which were valued at $77,00

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert G. Neuhauser Claimant vs. Case #88-02767 Shearson Asset Management, Inc. Respondent (s ) Case Sumaary Claimant, Robert G. Neuhauser, alleged Respondent, Shearson Asset Management, Inc. breached its contractual and fiduciary duty to follow Claimant's instructions not to invest Claimant's funds of $200,000.00 until after the occurrence of a major m

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Harvey and Violet Kaplan Family Limited Partnership and 99-02381 Scottsdale, Arizona Name of Respondents Sutro & Co., Incorporated Mark Horace Love REPRESENTATION OF PARTIES The Harvey and Violet Kaplan Family Limited Partnership ("Claimant") was represented by Thomas M. Pace, Esq., Tucson, Arizona. Sutro & Co., Incorporated ("Respondent Sutro")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert H. Klepner Claimant AWARD vs. #88-02765 Shearson Lehman Hutton, Inc. Respondent ***************************************************** CASE SUMMARY Claimant Robert H. Klepner alleged negligence and unauthorized trading by asserting that Respondent Shearson Lehman Hutton, Inc. failed to follow his instructions and purchase 500 shares of a bank stock kn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between ) ) HERSCHEL PHELPS, JR. M.O. ) ) Claimant ) v. ) CASE NO. 88-02761 ) AWARD DEAN WITTER REYNOLDS, INC. } Respondent ) On June 7, 1989, in Denver, Colorado, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on August 24, 1988 by Claimant Herschel Phelps, Jr. M.D. on October 18, 1988 b

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) CHARLES W. HIEATT AND ) LYNN HIEATT - ) ) Claimants ) and ) CASE NO. 88-02760 ) K I ODER PEA80DY & COMPANY, INC. ) AND PATRICK STEVEN JAGE ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on August 30, 1988, Charles W. & Lynn Hieatt ("Claimants") alleged that Kidder Peabpdy & Co. Incorporated and Patrick Steven Jage

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annette Perri, Claimant vs. Case #88-02759 Award Shearson Lehman Mutton, Inc. and Neil S. Mitchell, Respondents CASE SUMMARY Claimant alleges that his broker had a limited discretionary authority over his account. Claimant further alleges: (1) that the brokerage firm, Shearson Lehman Hutton, Inc., through its registered representatives, Ann

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anna D. Baumann, Claimant vs. Charles Schwab & Co., Respondent Case #88-02756 PRELIMINARY ORDER CASE SUMMARY Claimant alleged that Respondent failed to purchase 400 shares of Robotool Ltd. at $6.00 per share pursuant to her order. Respondent maintains that the lobby representative at Charles Schwab & Co. who received Claimant's check was not aut