NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOEL S. GREY, Claimant, vs. TUCKER ANTHONY 6 R. L. DAY. INC. and E. JEROME DEUTSCHER, Respondents Case 188-02405 Award Heard before the members of the Arbitration Panel: Mark Perry, Esq. Mr. Howard Biel Mr. Richard D. Toplin CASE SUMMARY This claim was filed with the NASD, Inc. on July 28, 1988. The hearing was conducted in Fort Laud

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert D. D'Amico, ) ) Claimant ) ) Case #88-02486 vs. ) Award Michael B. Lavoie and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents On May 9, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Robert D. D'Amico, on July 21, 1988 and by R

AWARD SASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Manuel J. Baraban, individually and as Trustee and LoisN. Baraban, individually and as Trustee and 99-02356 Kansas City, Missouri Name of Respondents Fahnestock & Co., Inc. Robert Franklin Anthony REPRESENTATION OF PARTIES Manuel J. Baraban, individually and as Trustee and Lois N. Baraban, individually and as Trustee ("Claimants") were repr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. Timothy and Kelly Stubbs Respondent(s) NOTICE OF ARBITRATION AWARD 88-02485 CASE SUMMARY Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(a) Timothy and Kelly Stubbs failed to pay Claimant for purchase of securities. Respondent(s) maintain that they were in Mexico at the time of the alleged

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In The Matter of The Arbitration B e t w e e n f Helen Georgi Claimant ) Award ) NASD 1*88-02484 vs. ) Merrill Lynch, Pierce, Fenner and Respondents Smith, Inc. and .Kathryn Pancoast SUMMARY OF ISSUES This case was filed on August 8, 1988. Claimant alleges the following: She asked Respondent Pancoast to invest $102,700.00 for her in September 1985 and Pancoast p

N.A.S.D. AWARD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the Matter or the Arbitration Between Don Wolding Claimant and 88-02483 Richard Chancis Shearson Lehman Brothers, Inc. Respondent and Shearson Lehman Hutton Third Party Respondent REPRESENTATION OF PARTIES Claimant Don Wolding was represented by Rebecca A. Erhardt, Esq. of Bourdman, Suhr, Curry & Field, Madison Wisconsin. Respondent Shearson Lehman Brothers, Inc. was re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Uma P. Reddi and Aruna Reddi vs. E.F. Hutton & Co., Inc. and Darrell T. Jones ) Claimants ) ) ) Respondents ) ) ) CASE NO. 88-02482 SUMMARY OF ISSUES Claimants filed this claim with the NASD on August 8, 1988 against E.F. Hutton & Co., Inc. and its account executive Darrell T. Jones. Claimants alleged that the were counseled

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DONALD GRENDAHL, MARK GRENDAHL, ) THOMAS LEMORANDE, CON YAGODZINSKI, ) CLYDE TRUDEAU, RAY FORMANEK, ) CONSOLIDATED VIRGINIA RIUTTA, RUSSELL AND FLORENCE ) CASE NOS. 90-00495, GRENDAHL, BETTY HANSON, PHILLIP AND ) 90-00673, 90-00674, DEBRA GRENDAHL, SANDI GOETZE, ) 88-02472, 88-02473,'88-02469, KEITH OLSON ) 88-02475, 88-02471, 88-02470, ) 88-02474 Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) WALTER EARL COX, ARDENIA F. COX AND ) CUBA READ ) Claimants ) and ) ) CASE NO. 88-02461 SHEARSON LEHMAN HUTTON AND LINDY RIDINGER ) ) Respondents ) CASE SUMMARY In a claim filed with the NASD on August 4, 1988 and amended on or about April 10, 1989, Claimants Walter Earl Cox, Ardenia F. Cox and Cuba Read ("Claimants") alleged that Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) Robert Williamson ) ) Claimant ) and ) A W A R D ) 88-2453 U.S. Associates, Ir.c. ) ) Respondents ) ) CASE SUMMARY In a claim filed with the NASD on August 2, 1988, Claimant Robert Williamson ("Williamson") alleged that Respondent U.S. Associates, Inc. ("U.S. Associates") and its registered representatives , breached the NASD