NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wayne J. & Martha Vincent Claimants AWARD #88-03694 vs. Advest, Inc. Cornelius F. Bailey Respondents Case Summary Claimants Wayne J. and Martha Vincent alleged that Respondents Advest, Inc. and Cornelius F. Bailey placed the Claimants in unsuitable and highly speculative stocks. Claimants alleged that their account was negl : gently placed on

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Malek-Ahmad Bagherzadeh Jaleh Vasseghi Bagherzadeh Claimants vs. Shearson Lehman Brothers, Inc. Responaent AWARD #88-03637 Case Summary Claimants alleged that Responaent engaged in unsuitable, unauthorized trading and churned their account, ""'ey contend their investment objectives of retirement income and safety of principal were net inet by risk

VQlume_>S^ . Number -4^ Year % NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Terry L. Knight Claimant vs. Chelsea Securities, Inc. Respondent AWARD CASE NO. 88-03577 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 17, 1988. Claimant alleged damages pursuant to the terms of the employment agreement entered into between the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: fvF fop riaiT^-pf Pflgp NlTTflfyT 02-04441 Irene Voeroes ^71115 ftit ft ' Washington, DC Merrill Lynch, Pierce Fenner & Smith, Inc. Michael S. McGeehan OF PAPTTFS Claimant, Irene Voeroes , hereinafter referred to as "Claimant", was represented by Richard A. Dezio, Esq., Pirsch and Associates, L.L.C., Alexandria, VA. Respondents, Merrill Lynch, Pierce, Fenner & Sm

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward Joseph Wooters Claiinant (s) vs. Investment Brokers of America Respondent(s) NOTICE OF ARBITRATION AWARD 88-03561 CASE SUMMARY Claiinant Edward Joseph Wooters alleged that Respondent Investment: Brokers of America never paid commissions earned and deducted from commission in error. Respondent has not submitted an answer or a Uniform Submissio

mXlOHhL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claiinant vs . Dr. Kamil Bahou Respondent AWARD NASD 888-03555 SPMMMIT Qf ISSffBS This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 14,1988. Claiinant alleaed that Respondent incurred a debit balance in his margin account which remains due and

RegionJdL^ Volunic. > .Numbers- Year.^ O N.A.S.D. AWARD lOll|^^ NATIONAL ASSOCIATK^ OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Pat:ricia J. Moriarty 88-03419 Prudentiad-Bache Securities Inc. Case Smmary Patricia J. Moriarty ("Claimant") a former registered repres^tative of Prudential-Bache Securities ("Respondent") alleged that the Respondent was liable to her for 1) money narket tirailers, 2) cor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) ) CAROL SHEINER ) Claimant j Case No. 88-03168 and ) LON M. GOFORTH & A. G. EDWARDS & SONS, INC Respondent (s) CASE $U^f^ARY In a statement of claim filed with the NASD on or about October 13, r)88, Claimant Carol Sheiner ("Sheiner") alleged that Respondents A.G. Edwards and Sons, Inc. ("A.G. Edwards") and Lon M. Goforth ("Goforth") made misre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) The Grower Company Claimant ) -vs\ ) AMENDED AWARD ) Oppenheimer & Co., Inc. Respondent ) CASE NO. 88-03162 SUl^WRY OF ISSUES This case was filed on October 11, 1988. Claimant alleged that Respondent solicited and obtained Claimant's permission to sell on the "when, as and if issued" market 36,300 shares of TBC New Common Stock which the parties thoug

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ^ Name qf Clalfl]^t(p) Edward C. and Mary A. Littlefield 88-03146 Name of Re899Ty3Qnt;(s) North American Investment Corp. Jofin J. Glblin Joy D. Erickson William R. Halliday Edward M. Kopko Itobert McGuire CASE SUMMARY Claijt^ts alleged that Respondents perpetuated deceit and fraud upon the Claimants' by engaging in a course of tx