NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. Akmakjian Claimant(s) vs. Dunhill Investments Ltd. and Tom Wilson Respondent(s) AWARD 88-02088 The Arbitrator, Gary S. Lapidus, Esq., 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 February 26, 1988 and July 29, 198

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Among Michael ana Dolores Delia Veccrna Claimants vs. Merton Mitchell and Shearson Lehman Brothers, Inc. Respondents Case 188-02081 AWARD Case Summary In the Statement of Claim received by the National Association of Securities Dealers, Inc. on June 28th, 1988 Claimants, Michael and Dolores Delia Vecchia alleged that the Respondent, Merton Mitchell entered them i

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of Arbitration Between HARRY 8ERGER v. BLINDER ROBINSON and MARK G2EVEN Claimant Respondents ) No. 88-02078 CASE SUMMARY Harry Berger ("Claimant") alleges that Blinder Robinson & Co., Inc. and Mark Greven made misrepresentations including false and misleading statement regarding the recommendation to purchase 10,000 shares of Blinder International Enterprises, Inc. st

Award NASD Dispute Resolution In the~Matter of the Arbitration Between: of th p Clamant r^gp Number- 01-03291 Janice C. Black n f thfi RfjgprmHpntq Hearing Sitf*- Philadelphia, PA Pinnacle Asset Management, Inc. John J. Katsock, Jr. John J. Katsock, Sr. N 0 1 V Claimant, Janice C. Black ("Black"), hereinafter referred to as "Claimant", was represented by Thomas P. Donnelly, Esq., Mellon Webster & Mellon, Doylestown, P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) DAVID A. DENT ) Claimant ) v. ) CASE NO. 88-02076 SUMMIT INVESTMENT CORPORATION AND ) GERALD HLADKY ) Respondents j CASE SUMMARY The Claimant alleged that he placed an order to purchase stock on margin. The Claimant later discovered that the stock was not marginable and that the position had been liquidated pursuant to Regulation T. Additional orders to p

May 17, 1989 Ms. Sandra A. Twigg, Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 Re: NASD Arbitration 88-02075 i,p il : MAT22lbe9 2S^WLFINANCTNG Theodore Holstein, M.D. vs. Shearson Lehman and Larry Trailor Dear Ms. Twigg: I have reviewed the original submissions of the parties and their additional correspondence. My decision follows: 1. Shearson Lehman Mutton In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Ralph N. Goldwyn, Trustee for Claimant ) First^Commercial Finance Defined ) Benefit Pension Plan, Dated ) August 1, 1978 ) AWARD vs. ) CASE NO. 88-02074 I Shearson Lehman Hutton, Inc. Respondents ) and David Smith SUMMARY OF ISSUES Claimant alleged purchases of the common stock of SAY Industries were made on the advice, recommendation and insisten

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration RP France 1 ; Addas vs. Claimant Cornwall Securities, Inc. Respondents AWARD #88-02072 CAbfc SUMMARY Claimant alleges that Respondents made unsuitable investments in a discretionary account over which Respondent Broker Trene Sullivan maintained control. Further, that Respondent Irene Sullivan made excessive purchases and sales of highly speculative,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Bernie Fratto Claimant ) ) AWARD vs. ) CASE NO. 88-02071 Merrill Lynch, Pierce, Fenner ) & Smith, Inc., George Fedorow, ) Kenneth Cadarette, and ) Edward Hocking Respondent(s) ) SUWARY OF ISSUES Claimant Bemie Fratto filed this claim on June 27, 1988 against Merrill Lynch, Pierce, Fenner & Smith, Inc., financial consultant George Fedorow, administ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David E. Crosby Claimant(s) vs. A.G. Edwards & Sons, Inc. Respondent(s) AWARD 88-02067 The Arbitrator, Janet Weiss, 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 June 9, 1988 and November 14, 1988, respectively; And, that