NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton Brenner Tilda Brenner Claimants vs . Phillip A. Kelley Respondent AWARD NASD #89-00521 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. {•NASD") on February 15, 1559. Claimants alleged churning, negligence and lack of suitability regarding investments in index options made on their beha

R.rion ^ -I'Vl-,^ Voluine_5_ Number. N.A.S.D. AWAf© • ' NATIOIW. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim^t 5£r Rhonda J. Ford 89-00333 - ^,. J.W. Gant and Associates, Inc. In a claim filed with the NASD on or about Pebr\iary 6, 1989, Rhoixia J. Ford ("Claimant") alleged that J. W. Gant & Associates, Inc. {"Respondent") has failed to pay to her earned ccnmissions and finders fees. In it

/ RegionJ::^__-^Li C/ « vniiimft ^ . Number Year^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth B. Hutchinson Claimant vs. Shearson Lehman Hutton, Inc. Respondent AWARD CASE NO. 89-00326 SUMMARY OF ISSUES This case was filed on February 6, 1989. Claimant alleged that Respondent placed him in unsuitable investments, namely certain common stocks, real estate and energy limited partn

Region ^ —tii^Em VolumeJ!L-. Number. vol. A: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between PAINEWEBBER, INC. Claimant V. JAMES F. HICKEY Respondent NASD No. 89-00284 CASE SUMMARY In a statement of claim filed on or about February 1, 1989 with the NASD, Claimant. PaineWebber, Inc. alleged that Respondent James Hickey ("Hickey") left the employ of PaineWebber following the execution of a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between Name of Claimantfs^ Ralph P. i«:ieiiard 89-00271 j Name of Rosrondent(s^ Eppler Guerin and Turner Investment Bankers A; -0 CASE StJMMARY In a claim filed with the National Association of Securities DGElleiS, Inc. ("NASD") on or abut January 27, 1989, Ralph P. ffcClelland (hereinafter "Claijwit") tiLiJucl -ftiat Eppler Guerin and Turne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Patricia Deleon Bernstein, David Black, Susan B. Farber, Theodore M. Farber, George Fergusson, Thelma Fergusson, Lynda Fisher, Eddie R. Hadden (as Trustee of E.R. Hadden P/S Plan, Linda Kline, Alan Michaelson, Sondra Michaelson, Susan Storms, Leo Toscano, and Sandra Toscano (Claimants) vs. Charles B. Jenkins and Royal Alliance Associates, (Respondents) Case Number: 98-00572 Hearing Si

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant vs. Waieed EL Ansary Respondent CASE #89-00245 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 6 , 1989 Claimant Oppenehimer ^ Co. , Inc. alleged the Respondent Waieed El Ansary executed two promissory notes in favor of Claimant to pay for losses incurred as a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs, Maria Mariano Respondent(s) NOTICE OF ARBITRATION AWARD 89-00244 CASE SUHHART Claimant(s) Charles Schwab & Co., Inc. alleged that Respondent(s) Maria Mariano has not paid Claimant for amount owed in account. Respondent(s) denies Claimant's allegations and counterclaims Claimant for loss incurred because of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marsh Block & Co., Inc. Claimant(3) vs. James P. Tierney Respondent(s) NOTICE OF ARBITRATION AWARD 89-00235 CASE SUHHARY Claimant Marsh Block & Co., Inc. alleged that Respondent James P. Tierney refused to pay the balance of the purchase price for call options. Respondent maintain that the NASD, Inc. does not have jurisdiction to arbitrate against h

NATIONAL ASSOCIATION OF SECURITIES DEALERS VOL Z MO. 3 "iGor^o JAN 30 RGCD In the Matter of the Arbitration Between Marsh Block & Co., Inc. Claimant vs. Ivan Lovas Respondent AWARD #89-00233 Case Summary Claimant Marsh Block & Co., Inc. (hereinafter "Claimant") alleged that Respondent Ivan Lovas (hereinafter "Respondent") a registered representative at Marsh Block & Co., Inc. incurred a debit balance in his personal accoun