NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) JOHN R. BAUERLE ) • j Claimants ) CASE NO. 88-00165 and ) A H A R D SHEARSON LEHMAN BROTHERS, INC. ) Respondents ) CASE SUMMARY Claimant, John Bauerle ("Bauerle") alleged the Respondent, Shearson Lehman Brothers, Inc. ("Shearson") 1) changed claimant's account from cash to margin without claimants permission; 2) made stock purchases on margin f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Hatter of the Arbitration Between Stanley J. Sanders Claimant Case #88-00163 vs. AWARD Gladstone Securities, Inc., Adler, Coleman & Co., Inc. and Barton Bereck Respondents • •rwM«*»M«»*Wte»W«»**WHW«to«WW< ftw«V«*VWWM»*W~«w*«»i CASE SUMMARY Claimant Stanley J. Sanders alleged that Respondent Gladstone Securities, Inc., acting through Respondent Barton Bereck, executed three unauth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) Brent and Teri Longnecker ) Claimant ) v. ) NASD No. 88-00159 Prudential Bache Securities, Inc. ) Frank J. Schmitt ) Respondents ) CASE SUMMARY In a claim filed with the NASD on January 19, 1988, Claimants Brent and Teri Longnecker ("the Longneckers") alleged that Respondents Prudential Bache Securities, Inc. ("Prudential Bache") and Frank J. Sch

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Birgitha & Stuart Tray & Tray Associates Claimants vs. Shearson Lehman Hutton, Inc./American Espress Harvey Deutsch Respondents ) Case #88-00147 Award On February 22, 1989 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants, Birgitha & Stuart Tray & Tra

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Christopher Bailey, ) Claimant, ) ) Case /88-00143 vs. ) Award Smith Barney Harris Upham Co., Inc. and ) John T. Trafford, ) Respondent. ) Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Norris L. Friedlander Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 15, 1988. The hearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) CRAIG M. NELSON Claimant and FIDELITY INVESTMENT & NATIONAL FINANCIAL ) SERVICES CORPORATION ) Respondent } ) CASE NO. 88-00140 CASE SUMMARY Craig M. Nelson ("Claimant") alleges that Fidelity Investment and National Financial Services ("Respondents") executed claimant's order and closed out two positions which were: Long 3 November XMI 460 puts and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. " Case Number: 01-02715 Marilyn Downes Name nf the Respondents Rearing Sits- Philadelphia, PA PMG Capital Corporation Daniel M. McGlinchey Michelle*M. Logue RFPRF.SF.NTATTON OF PARTTF.S Claimant Marilyn Downes, hereinafter referred to as "Claimant", was represented by Robert N. Dellavella, Esq., Attorney at Law, Philadelphia, Pennsylvania

N.A.S.D. AKASD NKTIGNMi ASSOCIATION OF SECORITXES DEALERS i In the Matter of the Arbitration Between Q£ fyi Jorge R. Kiewek. 88-00129 Name of Rflsponrtffats Shearson Lehman Brothers, Inc., f/k/a Sbearson Lehman Button, Inc., f/k/a Shearson Lehman Brothers/American Express? Joe Cazabaza for Claimant: Jorge R. Kiewek. was represented by Joel H. Fullen, Esq. of San Antonio, Texas, For Respondents: Shearson Lehman Brothers, Inc.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sunnyside Pacnev Ltd., S.PS. and } Joan Marshall, ) Claimants ) Case #88-00117 vs. ) Award Porcari, Fearnow & Associates, Inc., ) Art Porcari, ) Sanders, Morris & Mundy, Inc., ) York Securities, Inc., ) David Corcoran, ) Q&R Clearing Corp., and ) Prudential-Bache Securities, Inc., ) Respondents ) CASE SUMMARY Claimants allege tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joy Paul, M.D., individually and as trustee of the South Bay Urology Medical Group Defined Contribution Plan, and Elizabeth Paul, M.D., individually and as trustee of the Elizabeth Paul Money Purchase Pension Plan, Claimants v. Merrill Lynch, Pierce, Fenner & Smith/Incorporated, Respondent Case Number: 06-00615 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v