NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between CHANDLER P. and NORA HADHA Claimants v. AMERITRADE, INC. and JOHN JOE RICKETTS Respondents v. SNC CAPITAL MANAGEMENT CORP. Third Party Respondent ) NASD No. 88-00460 1 CASE SUMMARY Chander P. & Nora Wadwa ("Claimants") alleged that Ameritrade, Inc. and John Joe Ricketts ("Respondents") engaged in the following: 1. Respondents imprope

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Paul Burman ) Josephine T. Burman ) Claimants ) ) Case #88-00450 vs. ) Award ) Folger Nolan Fleming Douglas, Inc. Eugene F. Roesser, Jr. Respondents ) CASE SUMMARY Claimants Paul and Josephine T. Burman (hereinafter "Claimants") allege that Respondents Folger Nolan Fleming Douglas, Inc. and Eugene F. Roesser, Jr. (hereinafter "Responde

NATIONAL ASSOCIATION OF SECURJTTflS nRAT f T7RS. INC. In the Matter of the Arbitration Among Wayne Becker and Arleen Becker Claimants vs. Case #88-00448 Award Tom W. Alison and Shearson Lehman Brother, Inc. Respondents Heard before: Michael A. Caldwell i'uLlic arbitrator Ellwood F. Oakley, III Public arbitrator Robert Schaffer Industry arbitrator CASE SUMMARY This claim was initiated by a Statement of Claim filed with the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Morton Lopate vs. G.K. Scott & Co., Inc. John Kevorkian Claimant ) j 1 Respondents ) Case #88-00443 Award CASE SUMMARY Claimant alleges Respondents misrepresentation involving the purchase of 9,000 shares of Enterprise Technologies and 10,000 shares of Robotronix Corp. Respondents maintain proper disclosure and information was made ava

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Otto A. Schulze and Virginia S. Schulze, ) Claimant, ) ) Case /88-00441 vs. ) Award Thomson McKinnon Securities, Inc., ) Respondent. ) Heard before the members of the Arbitration Panel: H. Steven Holtzman Sam Giunta Allison Hardage On April 23, 1989, the arbitrators heard the controversy between the parties as set forth in submissions to arbit

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DR. GAYLORD LEWIS, ) Claimant, ) ) Case /88-00435 vs. ) Award E. F. HUTTON & COMPANY, INC. and ) J. ROBERT SORY, JR., ) Respondents ) Heard before the members of the Arbitration Panel: Joseph L. Bernstein, Esq. Norris L. Friedlander Joseph M. Luby CASE SUMMARY This claim was filed with the NASD, Inc. on February 10, 1988. The hearing w

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) National Securities Corp. Claimant ) ) AWARD vs. ) CASE NO. 88-00427 J. Bradford Shi ley Respondent ) SUMMARY OF ISSUES The claim was filed February 9, 1988. Claimant alleged that Respondent requested that Claimant sell 1,350 shares of Del-Rio Resources and Respondent delivered a stock certificate to Claimant. Claimant alleged that it mistakenly sold shar

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sid Paterson Claimant vs. Gladston Securities, Inc. Adler, Coleman & Co., Inc. vs. Barton Bereck Respondents Third Party Respondent ) Case #88-00412 ) Award CASE SUMMARY Claimant alleges Respondents failed to properly execute instructions to sell 2000 shares of Robotool Ltd. Respondent Adler, Coleman & Co., Inc. deny re- sponsibility

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jan L. Greco 94-02266 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc. CASE SUMMARY t In a claim filed with the National Association of Securities Dealers, Inc., on June IS, 1994, Claimant, Jan L. Greco, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc., made misrepresent

Ru C 26,03 09,40. MIKE MCLRUGHLIN REG. DIR. 6XQ-415-1267 Stipulated Award NASD Dbpute Resolution In the Matter of the Artairaifon Between; *' 01-4X3182 Ngrneh and Patricia Ng Prudential Securities* IDC, "VVnfiamDexttrJcnkiQS David Lewis Capin PA Claimants, Zahi Ngmch and Patricia Ngmch, faercinafler collectively referred to as \vcre represented By Nirfwlas J- GnoHano, Esq., Attorney at JUw, Kaladd^hia, PA. Respondents, Ptudential