NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claimant In the Matter of the Arbitration Between IDIICO vs. Wall Street Clearing Company Beuret & Company, Ltd. Richard Lee Denis Kelleher Respondents Wall Street Clearing Company vs. Allan Esrine ITI (Glendale), Inc. Third Party Claimant Third Party Respondent CASE #88-01437 AWARD CASE SUMMARY Claimant asserts that as a result of alleged conduct that v

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Elmer & Mary Lou Wehmer Claimant (s_) vs. '- 88-t)1432 Dean Witter Reynolds, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Elmer & MaryLou Wehmer alleged that Respondent Dean Witter Reynolds, Inc. failed to transfer Claimants' funds from stocks to government securities pursuant to an October 14, 1987 order. Respondents maint

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., Claimant vs. Daniel J. Farley, Respondent Case 188-01429 Award On April 12, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant, Dean Witter Reynolds, Inc., on May 2, 1988. Respondent, David J. Farley, did not execute a Submission Ag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-03249 Global Capital Securities Corporation, claimant vs. American Crest, Inc., respondent. ATTORNEYS: For Claimant appeared in-house counsel, Russell K. Bean, Esq., Englewood, CO. Respondent did not respond to the Statement of Claim. DATE FILED: June 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay margin calls on the account which resulted in claimant closing the p

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeffrey -E. Lindenbaum Claimant(s) vs. George Lannirig, Atlantis Security Corp., Frank Smith and Bay View Securities/ Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-01565 CASE SUMMARY Claimant (s) Jeffrey E. Lindenbaum alleged that Respondent(s) George Lanning, Atlantis Security Corp., Frank Smith and Bay View Securities, Inc. failed to exe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Sherry Fallenstein Claimant(s) vs. AWARD ) CASE #88-01562 Prudential-Bache Securities and Randy Brandt Respondent(s) SUMMARY OF ISSUES This case was filed on May 13, 1988. Claimant maintained a margin account with Respondent's Phoenix office. The Claimants associate, Dr. Irwin Lehrhoff, claims that he was told by the Respondent through their employees that Ms. Fallenstein's margin acco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter B e t w e e n ) JOHN C. DAVIS ) Claimant ) v. ) CASE NO. 88-01557 A. G. EDWARDS & SONS, INC. AND ) BILL STIGALL ) ) Respondents ) ) CASE SUMMARY Claimant ("Davis") alleged that Respondents, A. G. Edwards & Sons, Inc. and Mr. Bill Stigall failed to properly execute his order of October 15, 1987 to sell all of his mutual funds whi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! sV John A. Zaucha 88-01555 Merrill Lynch, Pierce, Fenner & Smith David Riebe Sandra DeQeorges Susan Burrell Kerry Kleissle Barry Gross .. j \[}j — ......... i ' • ' \ JK\| oJN 2 5 !—• - il u u John A. Zaucha ("Claimant") appeared gr£ gg and was advised by Geoffrey

MAY 28 FSB NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leslie G. Carter Claimants vs. Shearson/American Express, Inc. Samuel Manno Respondents AWARD #88-01553 Case Summary Claimant Leslie G. Carter alleged that Respondents Shearson/American Express, Inc. and Samuel Manno traded unsuitable speculative securities in Claimant's account in high frequency and without the authorization of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Victor Y. Feng and Elizabeth M. Meade Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. David E. Jarrett Respondents Case #88-01550 Award The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents, set forth in submissions to arbitration signed by t