NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jay C. and Maureen M. Roberts, ) Claimants ) Case ?88-00850 vs. ) Award Smith Barney, Harris, Upham and Co., Inc., ) and Edward L. Diener, ) Respondents ) CASE SUMMARY Claimants contend that the leveraged trading of treasury bonds in their account, financed through repurchase agreements, entailed excessive and unsuitable activity. Claimants also conte

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ) Louise F. Barnes ) ) Claimant(s) ) ) vs. ) CASE #88-00846 ) First Affiliated Securities, Inc. ) AWARD Elly Fischbach ) Respondent(s) ) Heard Before the Arbitration Panel: Harry E. Jennings Jr. Mil lard Skeel Martin 0. Nelson 'Jr. - '., . . - CASE SUMMARY The claim in this matter was filed March

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. Case #88-00845 AWARD In the Matter of the Arbitration Between Fred R. & Loris Gayer Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY Claimants, Fred R. & Loris Gayer alleged that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. entered into account transactions in their account that were not authorized. Respondent filed a Motion to Dismiss the St

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph Newberger Claimants vs. Invest Q & R Clearing Corp. ISFA Corporation Respondents AWARD #88-00841 Case Summary Claimant contends Respondents failed to process a cancellation of a sell order on October 20, 1987. Claimant contends that he lost the profits he would have made had he sold at a later date. Respondent states the cancel order ar

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-03222 First Union Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Chris V. Suarez REPRESENTATION OF PARTIES For First Union Securities, Inc. ("First Union"), hereinafter referred to as "Claimant": John E. MacDonald, Stark & Stark, P.A. S Lawrenceville, New Jersey. For Chris V. Suarez ("Suarez"), hereinafter referred to as "

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Charles Schwab & Co., Inc. Claimant/Counter- ) Respondent } Case #88-00840 ) vs. ) Award ) Sandra and El don Johns Respondents/ ) Counter-Claimants ) ) Heard Before the Arbitration Panel: Joseph J. Aron CASE SUMMARY Claimant alleged that Respondents deposited 4,400 shares of Vast, Inc., a Minnesota corporation, into their Schwab acco

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among Sloate, Weisman, Murray & Co., Inc., and Bear Stearns & Co., Inc., Claimants vs. Eight Brookwood Fund, Case #88-00835 Award Respondent CASE SUMMARY Claimants, alleged that Respondent, fraudulently promised to meet the margin call for 200 puts OEX November 300 before the opening of the market on October 19, 1987. Had the Claimants known that Respon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) MEREDITH WILLIAMS GRAVES ) Claimant ) AWARD v. ) NASD NO. 88-00831 ) MERRILL LYNCH, PIERCE, FENNER ) & SMITH ) JAMES SAUNDERS ) Respondents ) On May 9, 1989 in Dallas, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by the Claimant on March 2, 1988, by the Responde

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. — — — — ——— — — — — — •!••. — »-*. — —^—— »«••— — -*•—— — -•-* — — —•.»———».»«. — ^*»*»_^ — — — In the Matter of the Arbitration Between ) Louis Charles Fink ) Claimant ) ) Case #88-00814 vs. ) Award ) Shearson Lehman Brothers Edward Boulbol Henry Boulbol ) Respondents ) On January 31, April 3, April 4 and May 8, 1989, the undersigned arbitrators heard the controversy between the p

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenelm and Jane Guinness vs. Ferris & Company, Inc. Royce Cohen Claimants Respondents CASE #88-00810 vAWARD CASE SUMMARY Claimants Kenelm and Jane Guinness alleged that Respondents Ferris & Company, Inc. and their former broker, Ms. Royce Cohen placed Claimants in unsuitable real estate and oil and gas tax shelter investments. Claimants alleged