NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ALFRED JAMES ZONNEVYLLE. vs. SHEARSON LEHMAN BROTHERS. INC. and ANDREA STEINACKER, Claimant. Respondents. Case 188-01062 Award Heard before the members of the Arbitration Panel: Arthur J. Leibell, Esq. Ms. Virginia Rhyne Mr. Douglas Delanoy Jr. CASE SUMMARY This claim was filed with the NASD, Inc. on April 4, 1988. The hearing was co

N.A.S.D. AHftRD MAITCIWL ASSOCIMTCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Q Earl Glantz 88-01056 Name of '*' • Equitable Securities of New York, Inc. William Bitsimis James P. Kevany Claimant alleged that Respondents sold 400 shares of caiman stock without: his authorization after he gave limit orders to Respondents. Respondents maintained that market orders were given by the Claimant and not limit order

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : ) Raymond and Edith Mayer, ' . ) -• Claimant, '-• ) : ) Case /88-01053 vs. * ) Award Raymond, James & Associates and ) Philip H. Muehleck, . ) Respondent. ) Heard before the members of the Arbitration Panel: Mr. Andrew Fellios CASE SUMMARY This claim was filed with the NASD, Inc. on April 4, 1988. The hearing was conducted on July 18, 1989 in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Kidder Peabody & Co., Inc. ) Claimant ) ) Case 188-01047 vs. ) Award Andrew David Newton ) Respondent ) On April 18, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Kidder Peabody & Co., Inc. on March 15, 1988. Respondent Andrew David Newton did not execute a sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Orexel Burnham Lambert, Inc., Claimant vs. Universal Rental & Leasing, Respondent Case #88-01044 Award CASE SUMMARY The above-captioned complaint was filed with the NASD, Inc. on March 31, 1988. The Claimant alleged that the Respondent failed to meet margin calls when the value of the securities in Respondent's account declined in October of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. NASD NO. 88-01037 In the Matter of Arbitration Between) DIAKHE E. DARDEN f/k/a DIANNE E. GILBERT ) d/b/a A,T.F. ENTERPRISE Claimants v. R.G. DICKINSON & COMPANY Respondent ) CASE SUMMARY In a claim filed on or about April 25, 1988, the Claimant Dianne E. Darden ("Garden") alleged that in March 1986, Steven Solseth ("Solseth") induced her to invest $20,000.00 in a Treasury Bill through

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Charles J. and Loretta M. Mattas Claimant(s) vs. 88-01035 Bull & Bear Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Charles J. and Loretta M. Mattas alleged that Respondent Bull & Bear Securities made adjustments & confirmations of their switch activity because of incorrect prices without their consent. Respondents

f NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Matter of the Arbitration Between Ralph J. Thurner #88-01034 Claimant(s) vs. Mosely Securities Corporation Respondent(s) AWARD The undersigned being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to Arbitration signed by the Claimant on March 26, 1988 and June 23, 1988, resp

HATIOHAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) DOROTHY B. JESSEE Claimant v. EDWARD D. JONES & CO., INC. ) Respondent ) NASD No. 88-01032 CASE SUWARY Claimant Dorothy B. Jessee ("Jessee") alleged that the Respondent Edward D. Jones ("Jones") engaged in the following: 1. Misrepresented or failed to state certain material facts regarding the risks and other terms of the Petro Lewis and NRM Oil an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Steven Katz and Rebecca Katz, individually and on behalf of ABC Print Frame Limited Inc. Target Benefit Trust v. 01-03229 Denver, Colorado Respondents Montrose Capital Management, LTD. Michael E. Wallace, Marshall I. Baron, John David Telfer, Michael B. Ajzenman, Arthur Goldberg, David R. Jacaruso, Joseph M. Scotti, Craig S. Scotti, Steven Rabinovici