NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Philip C. Armetta, ) ) Claimant ) Case #88-01838 ) vs. ) Award Charles Schwab & Co. and Linda DeWalde, Respondents CASE SUMMARY Claimant alleges that the sale of January 19, 1987, was excessive, against his instructions, and executed with the primary purpose of generating commissions. Claimant further alleges that the transaction was done in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of_ClaJJBflt(sJ^ ) Marilyn, Barry and Seth Fellman ) ) Case No. 88-01835 flame of Respondent(s) ) Philips, Appel & Walden Inc. ) Hershel Krasnow ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. George R. Canty, Jr. Leslie Bishop CASE SUMMARY This claim was filed with the National Association of Securi

b NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reco, Inc. Claimant(a) vs. Thompson McKinnon Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-01830 i CASE SUMMARY Claimant Reco, Inc. alleged that Respondent Thompson McKinnon Securities, Inc. was negligent and/or dilatory in the handling of Claimants investment account with the Respondent. Respondents maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A & R Kalimi an Realty vs. Claimant Shearson Lehman Brothers, Inc. Edgar M. Fitzsimons Respondents CASE #88-01823 AWARD CASE SUWARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1988, Claimant A & R Kalimian Realty alleged the Respondents misrepresented the yield the Claimant would receive on its investmen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond J. Jenkins Claimant - ) Case #88-01817 vs. ) Award ) The Stuart-James Company, Inc. Respondent ) On May 9, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Raymond J. Jenkins on May 31, 1988, and by Respondent The Stuart -James Company, Inc. on July 21, 1988

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MOHSIN M. SAID ) ) Claimant ) and ) ) CASE NO. 88-01809 FIDELITY BROKERAGE SERVICES D/B/A ) FIDELITY INVESTMENTS ) Respondent ) CASE SUMMARY In a claim filed with the NASD on June 2, 1988, Claimant, Mohsin M. Said alleged that Respondent Fidelity Brokerage Services, Inc. violated its contractual and equitable obligations to claim

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association ot Securities Dealers. inc. NASD Financial Center 33 Whitehall Street New York. New York 10004 In the Hatter of the Arbitration Between Name of Elie J. Baghdady vs Name of Resppndents Merrill Lynch, Pierce, Fenner & Smith Larry D. Sadler John" voll 88-01801 Heard before: Philip M. Giordano Julien F. Begien W.j. Turne

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Nancy Barrie Claimant vs. Gruntal & Co. and Louis Hagerty Respondents Case #88-01799 AWARD CASE SUMMARY Claimant alleged that Respondents made an unauthorized purchase of 3,000 shares of common stock for her account and failed to correct the error when she brought the alleged unauthorized purchase to their attention. Respondent Gruntal & Co. mai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Leonard J- Corwin Claimant vs. ) Case 4(88-01797 ) AWARD Copeland Securities, Inc. and Charles Tassanari Respondents On January 27th, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant, Or. Leonard J. Corwin on May 27th, 1988, and by Respondent, Copeland

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Meyer 6 Sylvia Wallen Claimant(a) vs. 88-01796 Charles Schwab & Co. Respondent(s) AWARD The Arbitrator, Thomas J. Hawekotte, 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 June 20, 1988 and December 5, 1988, res pecti