NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Cheng Yang Claimant vs. AWARD 188-02755 Ralph Seto Alexander Michaels, Inc. Respondent Case Summary Claimant John Cheng Yang (hereinafter "Claimant") asserted that Respondents Ralph Seto (hereinafter "Seto") and Alexander Michaels, Inc. (hereinafter "Alexander Michaels) made material misrepresentations to the Claimant which Induced the Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ^••««MW«< *«ta1»W«*>MM»M>»lB*«B*»ll»»^»W*BBW^BVakWab«»^V^^«»*tM^— ••••••^V^M^M^'t In the Matter of the Arbitration Between ) ) Douglas Salavec, Claimant vs. / ) ) Case #88-02754 ) Award Philips, Appel & Maiden, Inc. and Eric S. Colella, Respondents On May 23, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitratio

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) } GORDON CARL and JEAN M. MUELLER, ) Claimants, ) ) Case J88-02752 vs. ) Award ) W.S. GRIFFITH & CO., INC., ) ROBERT L. KREINZ and ) FINANCIAL GROUP CONSULTING, INC., ) Respondents. ) ) Heard before the members of the Arbitration Panel: Nalton Morrow Bennett, Esq. Allan J. Fedor, Esq. Terry G. Cleaves CASE SUMMARY This clai

NATIONAL ASSOCIATION CF SECURITIES DEALERS, ETC. A W A R D 88-02751 In the Matter of the Arbitration Eetveen ) ) Newhard Cook and Co., Inc. ) ) Claimant ) ) and ) ) Abrahan E. Bell, ' ) ) _ Respondent _ ) CASE SUMMARY In a claim filed on or about August 31, 1988, the Claimant sought to recover the debit balance which had been generated in the Respondent's margin account. The Respondent claimed that

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A, Mermod vs. Judith Hochberg Claimant Respondent Case #88-02748 ORDER ORDER It appearing that the parties have submitted the controversy between them to arbitration as set forth in Uniform Submission Agreements signed on August 22, 1988 by George A. Mermod ("Claimant") and not signed by Respondent Judith Hochberg as required pursuant to

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Adriane Wilson, Charles Kaup, Suzann Rose, individually and as administrators of the Estate of Dorothy Kaup, Claimant vs. Toluca Pacific Securities Corporation and Richard Smith, Respondents. Case Number: 99-02380 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Adriane Wilson, Charles Kaup, Suzann Rose, individually and as administrators of the Estate o

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence F. Sheridan vs. Claimant Rowe Price Associates, Inc. Respondent AWARD 188-02742 Case Summary Claimant alleges he sold put option contracts on October 20, 1987 at a price of $57.00 not $26.00, based on certain CBOE price reports. Respondent contends that a trade error occurred but that Claimant is entitled to damages on the opening price of Oc

APRO; NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Tardie vs. Claimant AWARD #88-02741 Thomson McKinnon Securities, Inc. Respondent Case Summary Claimant John Tardie alleged that Respondent Thomson McKinnon Securities, Inc. misrepresented and invested Claimant's monies in a Damson Oil and Gas Fund that Claimant alleged was unsuitable for him. Claimant further alleged that Respondent com

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between j ) Robert M. And Jeane M. Shiells Claimants ) ) AWARD VS . } NASD =88-02740 Marc W. Vraciu and } PaineWebber, Inc. ) Respondents ) REPRESENTATION Claimants were represented by J. Thomas Hannan and Jeffrey C. Scharfen of Lovitt & Hannan. Respondents wera represented by Judy Louie of PaineWebber, Inc. SUMMARY OF ISSUES This case w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) ) ROBERT H. and JAY BAUER and ELIZABETH ) BOLAND Claimants v. ) AWARD NO. 88-02738 J.W. GANT and ASSOCIATES, INC. ) Respondent ) CASE SUMMARY In a claim filed on or about August 29, 1988, Claimants (Robert and Jay Bauer and Elizabeth Boland) alleged that Respondent (J.W. Gant and Associates) misrepresented material facts in connection with the sale of