NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD NASD 188-02167 In the Matter of the Arbitration Between John H. and Arline Dawn Peck Claimants vs. Bateman Eichler, Hill Richards, Respondent ) Inc. SUMMARY OF ISSUES This case was filed on July 5, 1988. Claimants alleged that Respondent's employee made unauthorized transactions in Claimants' accounts. They further contended that Respondent failed to adequately supervise and control

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marlene Starcevic (Claimant) v. Robert S. Rutkowski (Respondent) Case Number: 99-03992 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Marlene Starcevic ("Starcevic") was pro se. Respondent Robert S. Rutkowski ("Rutkowski"): David E. Morgans, Esq., Williams & Montgomery, Ltd., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or about: August 3

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) BERNARD R. KOEHNE ) Claimant ) and - ) ) CASE NO. 88-02160 SHEARSON/AMERICAN EXPRESS, INC. AND ) RICHARD G. RALPH ) } Respondents CASE SUMMARY In a claim filed with the NASD on or about July 7, 1988, Claimant Bernard R. Koehne ("Claimant") alleged that Respondent Richard G. Ralph ("Ralph") made material misrepresentations in relation to th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morton Levinstein and Reva Levinstein Claimants vs. Case #88-02159 AWARD Dean Witter Reynolds, Inc. Respondent / On April 24th, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Morton Levinstein and Reva Levinstein on October 24th, 1988, and by Respondent, Dea

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anita J. Faul Claimant vs. CASE* 88-02151 Merrill Lynch Pierce Fenner & Smith, Inc. Advest, Inc. Steven J. Shepp Respondents Heard before: Joseph R. Lally, Esq. Public Arbitrator D. Joan Sampieri Public Arbitrator Mary Ann M. Melchiorre, Esq. Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities

NATIONAL ASSOCIATION 01 SECURITIES'DEALERS In the Matter of the Arbitration Between Frank Ittner Claimant vs. #88-02141 A.G. Edwards & Sons, Inc. Respondent Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between (he above-mentioned Claimant and Respondent, set forth in submissions U> arbitration signed by the parties on June 30, 1988 and August 4, 1988, respeclively; And, having r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Homer Schulz ) Norma Schulz ) Claimants ) ) Case #88-02139 vs. Award Fidelity Brokerage Services, Inc. ) Respondent ) CASE SUMMARY Claimants Homer and Norma Schulz alleged that they placed an order with Respondent Fidelity Brokerage Services, Inc. to buy stocks on October 21, 1987. Claimants allege that they placed a day, limit order. Cl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Russell B. Lackey Virgina M. Lackey Claimants vs. Case #88-02134 Award Clark B. Loth Respondent On April 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Russell B. and Virginia M. Lackey on June 24, 1988, and by Respondent Clark B. Loth on November 2,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ringo J. Pauly Claimant(s) vs. 88-02123 Marshall Davis, Inc. and Eric Schiros Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Ringo J. Pauly alleged that Respondent(s) Marshall Davis, Inc. and Eric Schiros forced him to sign a release for partial payment of a debt. Respondent(s) maintain that Claimant was never promised the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George A. Mackey Claimant ) ) Case #88-02119 vs. Award Shearson Lehman Mutton, Inc. Respondent Heard Before the Arbitration Panel: CASE SUMMARY This arbitration was filed on July 1, 1988. On June 27, 1986, Claimant George A. Mackey and his wife Audrey Mackey opened an account with Respondent with an initial deposit of $129,000.00. Claimant alleges t