NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. IN THE MATTER OF ARBITRATION BETWEEN JOHNNIE AND ARLENE DORICH ) NO. 88-02573 Claimants, ) MOTION TO DISMISS vs. EDWARD 0. JONES & CO. & j JAMES CAPPS ) Respondents. ) The Panel has reviewed the Respondent's Supplement to the Motion to Dismiss and the Claimant's response. The Panel has also reconsidered the oral argument presented to them on May 9, 1989. After careful consideration

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between RDL, Inc. Claimant VS. Smith Barney Harris Upham & Co., Inc. Richard Chandler Respondents AWARD 188-02567 Case Summary This proceeding was commenced by Claimant RDL, Inc. against the Respondents Smith Barney, Karris, Upham & Co., Inc. and Richard Chandler arising from the recommendation by Chandler of an unsuitable investment in the Claimant's acc

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) ) ROBERT H. and GLORIA S. HUDLER, ) Claimants, ) ) Case /88-02563 vs. ) Award ) KIDDER PEABODY & CO. and MYRON ENGERMAN, ) Respondents. ) ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Andrew Bartfay Carl J. Hegner CASE SUMMARY This claim was filed with the NASD, Inc. on August 12, 1968. The hearing was

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas 0. and Malinda Kehoe, Claimants vs. Fidelity Brokerage Services, Inc., Respondent Case #88-02556 Award CASE SUMMARY Claimants, Thomas rj. and Melinda W. Kehoe, alleged that Respondent executed their order to purchase 400 contracts for OEX December Index Options at $200.00 improperly. Respondent maintains that it cannot be held responsible

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Harry R. Atkins and Claimants ) Gladys Atkins ) ) vs. ) CASE NO. 88-02554 ) First Affiliated Securities, Inc. Respondents ) SUMMARY OF ISSUES The Claimants filed this claim with the NASD, Inc. on August 12, 1988, and alleged unauthorized trading, unauthorized debit balances, unauthorized trading strategies, e.g., naked calls and debit spreads, u

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ira Burrell vs. Marty Schwartz Shearson Lehman Brothers Claimant Respondents AWARD #88-02551 Case Summary Claimant asserts Respondents placed him in unsuitable margin investments without explaining the risks connected with the investment for the sole purpose of generating commissions. Respondents contend that the risks and rewards of margin tradin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Richard Dawson Case No, 99-02347 Names of Respondents Foster Jeffries Securities, LLC Brian Christopher Burke Thomas Salvatore Marinovich, Jr. Justin James Fiore Steven Lee Karno George Michael Greco, Jr. Michael S. Weiner Kevin Charles Held Thomas M. Allegra George Michael Greco, Sr, Edward Richard O'Brien UCH, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Howard A. Van En CUimant(s) ) vs. ) CASE NO. 88-02545 ) Kennedy, Cabot & Co., Inc. Respondent(s) ) Heard Before the Arbitration Panel: Thomas E. Higgins SUMMARY OF ISSUES Los Angeles, California - Century Plaza Hotel One Session - May 18, 1989 Claimant alleges that Kennedy, Cabot & Co., Inc. sold out two positions in his account without his

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Barbara Goldstein Claimant ) vs. ) CASE NO. 88-02649 Merrill Lynch, Pierce, Fenner Respondents ) & Smith, Inc. and Burton J. Rosen ) Heard Before the Members of the Arbitration Panel: Sheldon M. Jaffe, Esq. Ian C. Sitren John B. Wells SUWARY OF ISSUES This case was filed on August 19, 1988. On August 5, 1987, Claimant Barbara Goldstein delivered t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julia Lacy Claimant(s) vs. Texas Independent Securities Respondent(s) AWARD 88-02645 The Arbitrator, Richard C. Moenning, 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 August 15, 1988 and October 6, 1988, respectively;