NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. *********************** In the -Matter of the Arbitration Between * * Elizabeth D. Dovydenas * Claimant * * vs. * #88-01165 Dean Witter Reynolds, Inc. James M. Freed Respondents *********************** CASE SUMMARY Claimant Elizabeth D. Dovydenas alleged that Respondents Dean Witter Reynolds, Inc. and James M. Freed managed the Claimant's investment portfolio in an improper, fr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Frank Scarnavack Claimant vs. ) ) Case #88-01164 Award Rauscher Pierce Refsnes, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by the parties on April 5, 1988 and June 30, 1988 re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between David W. Engle Kay C. Engle vs. Kidder Peabody & Co., Inc. Charles W. Chepak Claimants Respondents CASE #88-01160 AWARD CASE SUMMARY Claimants David W. and Kay C. Engle alleged that the conduct of Respondent Charles W. Chepak as a registered representative, agent and employee of Respondent Kidder Peabody & Co., Inc. amounted to willful, want

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Diane W. Harter vs. Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Gingras Michael A. Ehrlich Respondents AWARD #88-00693 Case Summary Claimant Diane W. Harter (hereinafter "Claimant") alleged that she was fraudulently induced to open an account at Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. (hereinafter "Merrill Lynch").

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Dore, Stanislaw Frankowski , ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi ) ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to here

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Core, Stanislaw Frankowski , } Jesse Goldner, and Judith Cromwell ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi ) ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to herein as

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Isaak Oore, Stanislaw Frankowski, ) Jesse Goldner, and Judith Cromwell ) ) Claimants ) ) CONSOLIDATED and ) CASE NOS. 88-00631, 88-00632 ) and 88-00633 Blinder, Robinson & Co., Inc. ) and Roland Levi } ) Respondents ) CASE SUMMARY Jesse Goldner, Judith Cromwell, Isaak Dore, and Stanislaw Frankowski (collectively referred to herei

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JOSEPHTHAL i CO.. INC., vs. STANLEY A. and RITA S. MILLER, Claimant Respondents. In the Matter of the Arbitration Between STANLEY A. and RITA S. MILLER. vs. JOSEPHTHAL & CO., INC., Claimants, Respondent. Case 188-00741 Award Case #88-01357 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grady Andrews, Michael BeasJey, Donald Bickford, Thomas Blackwood, Eric Chen, Charles Clapper, Ted Clinton, Thomas Corkran, John Dai, Jeff Donaldson, Lawrence Harmon, Thomas Iverson, Gerald Jacino, Charles Johnson, Bruce Jones, Joe Kelly, Sunil Kharode, Dannnie Marchione, Mark Melling, Eugene Miller, David Morrison, William Murphy, John Nesbitt, Norman Peterson, Keith Potter, Seppo Saar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between JOSEPHTHAL 4 CO., INC., vs. STANLEY A. and RITA S. MILLER, Claimant Respondents, In the Matter of the Arbitration Between STANLEY A. and RITA S. MILLER. vs. JOSEPHTHAL 6 CO., INC., Claimants, Respondent. Case #88-00741 Award Case #88-01357 Award Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Mr.