NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Case #88-00506 AWARD Helen Kirby Claimant vs. Ignatius Teichberg Respondent CASE SUMMARY Claimant Helen Kirby alleged that Respondent Ignatius Teichberg purchased highly speculative issues in her account that were unsuitable for her financial condition. Claimant also alleged that the Respondent executed unauthorized trades in her account and "coerced" her into entering into a discretio

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Quick a Reilly, Inc. Claimant ) AWARD vs. ) CASE NO. 88-00505 ) Paul Hammer Respondents Donna Hammer SUMMARY OF ISSUES Claimant filed this claim with the National Association of Securities Dealers, Inc. (NASD) on February 17, 1988 against Paul Hammer and Donna Hammer. Claimant requests the purchase price of 100 shares of Alza Corp. less the sales price

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert Leach Claimant ) ~$. ) AWARD ) Oppenheimer & Co., Inc., Respondents ) CASE NO. 88-00496 Oppenheimer Capital Corporation, ) Quest for Value Dual Purpose Fund, ) Inc., Arthur K. Ward and Kurt W. ) Dunard ) SUMMARY OF ISSUES This case was filed on February 16, 1988. Claimant alleged: 1) Securities Exchange Act fraud; 2) violation of Sect

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Wedbush Securities, Inc. Claimant(s) vs. 88-00488 Barbara Hederios and Daniel Mederios Respondent(e) NOTICE OF ARBITRATION AWARD CASE SUHHARY Claimant (s) Wedbush Securities, Inc. alleged that Respondents) Barbara Mederios and Daniel Mederios were unjustly enriched because of an error on the part of the Claimant. Respondents) maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ZBIGNIEW & MARIA SZYMANSKI ) Claimants ) v. ) Case No. 88-00468 ) AWARD EPPLER GUERIN AND TURNER ) AND BRAD B. LYON ) Respondents ) On April 6, 1989 and May 25, 1989 in Houston, Texas, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 22, 1988 by Claimants Zbigniew an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Clifford L. Skinner and Ruth H. Skinner Claimant(s) vs. 88-00467 Great Western Financial Securities, Inc., William Wiener, and Robert Eisner Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Clifford L. Skinner and Ruth H. Skinner alleged that Respondent(s) Great Western Financial Securities, Inc., William Wiener and Rober

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Aaron J. Stern and 01-03192 Southfield, Michigan American Express Financial Advisors, Inc. IDS Life Insurance Company of New York, IDS Financial Advisors, Inc., and American Express, and Dominic J. Sacca REPRESENTATION OF PARTIES Aaron J. Stern ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. American Express Financial Advisors,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Robert E. Bruflat Claimant(a) vs. Prudential-Bache Securities, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD 88-00466 CASE SUMMARY Claimant(s) Robert E. Bruflat alleged that Respondent(s) Prudential-Bache Securities, Inc. mishandled his Individual Retirement Account that was opened through the Respondent. Respondent(s) deny any mishandling of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) OREXEL BURNHAM LAMBERT, INC. ) Claimant ) NASD NO. 88-00462 v. ) GARY HOUSTON j Respondent ) CASE SUWARY In a claim filed on February 8, 1988, and amended on April 12, 1989, the Claimant alleged that the decline in the value of securities in the Respondent's margin account resulted in an unsecured debit balance which Respondent has failed to pay. T

N.A.S.D. AWARD NRTICNAL ASSOdATICN OF SECCRTTIES DEALERS la the Matter of tbe Arbitration Between of ^^^l^t^•^ntB Joseph C. Oopelmvi Kathleen M. Annie Oop&I of A.G. Edwards 6 Sons, Inc. Timothy L. Colon - ; '992 90-00160 Claimants ware repreoentod by B. Keith Shake, Esq. of Henderson, Daily,, Wltbrcw & OeVoe, Indianapolis, IN. Respondent A. 6. Edwards & Sons, Inc. was repreoentod by William S. Port, Esq. of A. G. Edwa